Chief Compliance Officer
5 days left
The Intercontinental Companies are a 35-year-old San Antonio-based broker-dealer/RIA, with approximately $1.2 billion in AUM and is looking for a proven and experienced Chief Compliance Officer. The successful candidate needs to have substantial Anti-Money Laundering programs exposure with nonresident clients and have experience dealing directly with both FINRA and the SEC. Reporting directly to the CEO, the candidate will be part of senior management and assist with strategic planning. Series 7 and 24 are the minimum requirements.
- Assess and enhance a retail broker-dealer and investment advisor compliance program, including annual assessment, surveillance, and field oversight programs
- Develop and maintain all relevant Policies and Procedures based upon regulatory requirements, industry practices and established internal controls, including AML, CIP, BCP, insider and personal account handling, disclosures.
- Perform all daily, weekly, monthly and quarterly compliance reviews (including transaction reviews)
- Develop and implement necessary risk assessment reviews including internal audits and automated surveillance/monitoring programs to review the firm's activities to remain in compliance with all aspects of industry standards (i.e. from sales practices, prime brokerage to trading activity).
- Implement and maintain all mandated Anti-Money Laundering programs covering the Broker/Dealer activities.
- Provide advice and training to firm’s management and employees regarding applicable securities rules, regulations and firm policies.
- Fixed-Income - Develop implement and monitor supervisory policies and procedures relating to sales, trading, and underwriting of taxable and non-taxable fixed income securities.
- Options - Develop implement and monitor supervisory policies and procedures relating to sales, trading of options.
- Trading (including Market Making Division) -Oversee electronic trade reporting for fixed-income and equity securities.
- Sales-Retail sales supervision for RR’s and Producing Branch Office Managers.
- Operations-Supervision of Back Office Operations (account openings, registrations. Continuing Ed program etc.)
- Participation in on-going reviews and inspections of branch offices.
MINIMUM KNOWLEDGE, SKILLS, & ABILITIES REQUIRED:
- A law degree or experience as a regulator with FINRA or the SEC will be valuable, but not required
- Bachelor's Degree or Higher Required.
- Current FINRA Licenses Series 7 and 24
- Minimum of 5-10 years’ experience in securities compliance and/or legal experience in securities compliance, emphasis on sales and sales trading, institutional, retail, fixed-income, options and hedge fund activities.
- Fluent with all current FINRA issues and concerns.
- Working knowledge of FINRA, SEC, and State Securities rules and regulations.
Intercontinental Wealth Advisors, LLC (IWA)
Our investment advisory firm develops, implements, and monitors customized investment plans that can be adjusted as the market and your life situation changes. Our strategies help reduce income and capital gain taxes to efficiently transfer wealth to future generations or charitable causes. Our clients include high net worth individuals, corporations, and non-profits. IWA is registered and regulated by the Securities and Exchange Commission and the Texas State Securities Board.
Intercontinental Asset Management Group, LTD (IAMG)
IAMG is a registered broker-dealer with a global network of trading partners, allowing us to provide world-class trading and execution for stocks, bonds, mutual funds, options, futures, and certain derivatives. We have no proprietary products and carry no inventory. Our trading is no-conflict. Client assets are held by Pershing LLC, a wholly owned subsidiary of the Bank of New York Mellon and insured by Securities Investors Protection Corporation (SIPC).
Intercontinental Insurance Agency, LLC (IIA)
Life insurance can be a valuable tool in creating a portfolio, protecting a business and reducing or eliminating estate taxes. Other forms of insurance can provide income for life and death benefits. Deferred compensation plans can provide significant tax deferral, creditor protection, and executive retention. IIA is an independent insurance firm registered and regulated by the Texas Department of Insurance.
This position requires a background check. If you are licensed and if you have a prior bankruptcy, U-4 disclosures, credit issues, criminal convictions, civil judgments, pending litigation, termination from a previous employer, or any other matter subject to FINRA disclosure regulations, you must disclose these items during the pre-screening process.
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