Chief Compliance Officer Salary at Symbridge Llc BETA

A newly created role at full-service Broker Dealer in Emerging Markets due to team growth, this is an excellent chance to succeed the Chief Compliance Officer, who is retiring in 2025. Chief Compliance Officer Full-Service Broker Dealer & Investment Bank Specializing in Emerging Markets Location: Greenwich, CT (Train Accessible, Walking Distance) Compensation: $200K (Potentially 225k if active Series 24) base + ~20% discretionary bonus Schedule: 4-5 days in office; full-time for first 6-12 months for training Why Join Us? Small Team, Big Impact: 30 employees locally, ~100 globally. Stability: Family-friendly, low turnover, employees often stay 20+ years. Growth Opportunity: Succession path to Chief Compliance Officer, current CCO is retiring this year. Unique Perks: Bring kids or pets to work, monthly team events, extravagant holiday parties, and international travel (~2-3 trips/year to great locations like Spain, Brazil, and Singapore). Generous Benefits: 75% company-paid medical/dent

Client looking to move quickly Global Impact and Strategic Leadership About Our Client Multinational banking client in the payment space. Job Description To be discussed in an introductory call. MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants. The Successful Applicant To be discussed in an introductory call. What's on Offer The chance to build out an industry leading compliance program from the ground up. Contact Connor Duenas Quote job ref JN-022025-6669300

Company: MMC Corporate Description: We are seeking a talented individual to join our Legal and Compliance team at Marsh McLennan. This role can be based in NY, Boston, Chicago. This is a hybrid role that has a requirement of working at least three days a week in the office. The Chief Counsel and Chief Compliance Officer will serve as the trusted adviser to Marsh McLennan Agency (MMA) Asset Management, MMA Securities, and Marsh McLennan Company (MMC) Securities, and generally serve as an expert in FINRA broker-dealer rules and SEC RIA matters. Responsibilities will include the provision of legal counsel and regulatory guidance, executive level leadership, development and execution of strategic vision, the enhancement of testing and monitoring, and activating risk management controls. This position will directly lead a team of Legal and Compliance professionals, but will also heavily rely on partnership with other Legal and Compliance teams. We will count on you to: Lead and continually

Location: Greenwich, CT (Hybrid) Compensation: $350K-$450K total comp Our client, a recently founded private equity firm is seeking a CCO to build and manage the firm's compliance program. Responsibilities: Draft compliance policies and procedures and advise senior leadership on compliance issues Participate and/or lead firm governance committees, including the valuation committee, disclosure committees, and lead of the compliance committee Interface with regulators and handle regulatory communications, including regulatory examinations Draft and submit regulatory filings such as Form ADV, 13Fs, 13Ds, 13Gs, etc Work with third-party software developers to extend and improve automated compliance-related systems Work with outside counsel legal personnel to review and approve marketing materials, including pitchbooks and responses to due diligence requests Qualifications: Bachelor’s degree and JD (preferred) with strong academic credentials 8+ years of related work experience Understandin

Confidential, is seeking an Attorney and Chief Compliance Officer for its hedge fund business Responsibilities: Provide legal advice to, and partner with, hedge fund business teammates. Administer and maintain program for compliance with federal and state securities laws and regulations. Prepare Form ADV and Form PF filings. Serve as AML Reporting Officer Implement and update compliance policies and procedures. Participate in weekly Compliance Committee meetings. Keep abreast of legal and regulatory developments and compliance best practices. Review marketing materials and fund fact sheets. Coordinate meetings of offshore fund Boards. Review contracts, prime brokerage documentation and solicitation agreements. Qualifications: · J.D. degree required. · 5+ years legal or compliance experience with in-house legal department, law firm or hedge fund. · Strong understanding of hedge fund legal and compliance issues and reporting requirements. · Ability to work under pressure, prioritize and

Company: MMC Corporate Description: Marsh McLennan Agency (MMA) is seeking a Chief Compliance Officer (CCO) to lead its global compliance program. What you can expect: Reporting to the Marsh & McLennan Agency General Counsel, you will be responsible for advising senior management at MMA about risk and compliance issues, and leading a team of colleagues across the United States. The Legal, Compliance and Public Affairs (LCPA) department promotes a culture in which ethical, lawful, and risk mindful behavior is encouraged and reinforced. LCPA develops and implements policies and procedures, systems and controls, training and communications, monitoring activities, and management reporting to prevent, detect and respond to violations of law and company policies. We will count on you to: Foster an environment where colleagues feel comfortable speaking up and raising concerns. Serve as trusted advisor to senior leadership at MMA on array of risk and compliance issues related to its commercial

THE FIRM: My client is a newly launched private equity firm in CT *Aggressively growing firm, exciting time to join as they are in high growth mode *Super lean team (less than 15 people), collaborative friendly culture *Very successful founder, stellar reputation in the industry *Flexible hybrid schedule for the long-term (3/2) *Superior compensation with upside and growth potential *High exposure and visibility - working directly with the Founder *You will grow with the firm as they continue to grow and expand THE ROLE Chief Compliance Officer (CCO) *You will own the compliance function, building out the compliance program from scratch *Work closely with firm's counsel and the Founder - tremendous exposure to upper mgmt. *Liaison with the finance team, investors, legal etc. on all compliance matters *Draft & implement compliance procedures and policies *Work directly with the law firms *Work on compliance/legal aspects of the marketing materials *Allocate trades in accordance with com

cx Self-Clearing Broker Dealer seeks experienced Chief Compliance Officer with a minimum of 5 years of experience working for a Self-Clearing Broker Dealer in the role of Chief Compliance Officer who has worked at a Self-Clearing Broker Dealer within the last 5 years as who has significant experience in the supervision of Equities Trading " as well as writing and updating Written Supervisory Procedures and firm policies All Other Please DO NOT APPLY". Candidate must have or be willing to get a Series 7 and 24. Once again only Candidates that have 5 years' experience in the role of Chief Compliance Officer working at a Self-Clearing Broker-Dealer within the last 5 years will be considered, all others please do not apply. Establish and maintain standards and procedures that are effective in identifying, preventing, detecting and remediating regulatory issues at a tech-enabled broker-dealer Oversee the broker-dealer compliance program functions including implementation of written supervis