I have a broker-dealer client that seeks a Chief Compliance Officer to direct all aspects of its compliance affairs. The CCO oversees the company's compliance and risk management programs and serves as the compliance and risk liaison for the Executive Team, Board of Directors, and external regulators. The CCO is a senior level role, member of the executive team and a direct report to the Firm's president. Please contact me at ryan.smith@practus.com with leads. Thank you.
Apr 14, 2023