Chief Compliance Officer

Chief Compliance Officer:

To ensure the delivery of an effective compliance function within the firm, to play a leadership role as a senior team member supporting the growth of the firm and to promote and protect the reputation and effectiveness through the development of a strong compliance program.

Role and Key Responsibilities:
• Manage and augment the current compliance program to ensure that Luminex adheres to regulatory requirements, as well as policies and standards;
• Manage the implementation and development of the internal control and monitoring programs. Ensure that applicable policies and procedures, are comprehensive, robust, current and reflect the firm's business processes;
• Manage multiple functions within the compliance department - e.g. develop a compliance training program for associates, manage the firm and associate registration process, manage customer complaint handling process, manage internal compliance reviews, oversee regulatory reporting / filings, etc;
• Provide a proactive level of support across the firm. Partner with Luminex departments to identify and implement compliant and practical solutions to business issues;
• Partner with all departments to ensure they clearly understand their role in compliance and that their compliance activities are carried out effectively. Conduct training and education as appropriate;
• Develop and manage professional relationships with regulatory personnel
• Act as the point person in certain internal and external compliance audits;
• Provide monthly and adhoc reporting including: monthly metric / status reports and escalate any breaches to internal and/or external parties;
• Maintain current knowledge regarding regulatory issues, rules proposals, guidance, etc.;
• Foster a positive compliance culture; protecting the brand and integrity of the firm and its investors.
• Serve as the firm's Chief Privacy Officer and AML Officer
• Provide appropriate attestations for senior management sign off
• Reporting line: CEO

Qualifications - Education, Experience & Skills
• Strong experience (15+ years) in a senior compliance / regulatory role in the financial services sector;
• Have successfully completed all requisite exams to qualify as the Chief Compliance Officer according to US regulations;
• Strong knowledge and understanding of the US regulatory environment as well as all FINRA and SEC rules and regs; particularly those pertaining to the ATS space.
• Knowledge and understanding of introducing and ATS firm regulatory obligations;
• Knowledge and understanding of US brokerage industry and brokerage operations;
• Strong communication skills, written and verbal;
• Organized and self-motivated working style;
• Analytical approach; and
• Able to work on own initiative.
• Undergraduate degree required, JD/Master's degree preferred
• Previous experience building a firm compliance program
• Entrepreneurial spirit, prior experience with a start-up firm