Seeking CCO (Series 24) for New Broker-Dealer Formation
We are in the process of forming a new FINRA-registered broker-dealer and are seeking an experienced Chief Compliance Officer (CCO) to assist with formation as well as post-approval. Requirements: - Active Series 24 license - Experience as a CCO or Principal at a FINRA-registered firm - Not currently registered with another broker-dealer (to avoid CRD conflicts) - Available to support the New Member Application (NMA) process - Ability to assist in building and reviewing WSPs, supervisory structure, and compliance infrastructure Role: - Serve as named CCO during application and operational phase - Provide strategic compliance guidance - Support communication with FINRA as needed - Option to remain on staff capacity post-approval Ideal Candidate: - Former or semi-retired CCO - Independent compliance consultant - Deep understanding of FINRA and SEC regulatory environment - Strong communication and documentation skills Please include your relevant licenses, FINRA experience, and availability in your proposal. We’re ready to begin immediately.
Keyword: Business Consulting
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