Esposito Securities is a fast-paced, technology-driven global Broker/Dealer continuing to experience growth.  We are located in multiple locations and provide one of the most aggressive compensation packages on the Street.  Our entrepreneurial style ensures that confident, experienced candidates will excel in a contemporary work environment.

The Chief Compliance Officer will be responsible for overseeing the regulatory initiatives of the firm, managing compliance risk, developing infrastructure, and providing support to senior management. This position will be responsible for a FINRA registered Broker Dealer as well as an SEC registered Investment Advisor. The ideal candidate will have a background interpreting and implementing FINRA and AML regulations. We offer an easy working environment and an unlimited potential for growth.

Responsibilities Include:

*Maintain compliance procedures including administering those procedures and providing guidance to employees.

*Install a corporate compliance culture including all aspects of adherence to industry regulations.

*Identify possible conflicts and advise as to interpretive guidance and final resolution.

*Administer the firms AML program including CIP and other AML initiatives.

*Review and approve correspondence.

*Maintain firm’s compliance with OATS reporting procedures including identifying and rectifying breaks.

*Manage and Monitor the broker dealer and investment advisor’s registrations including familiarity with the CRD system.

*Must be able to grow with the firm and add responsibilities as needed.

*Must have the ability to act as CCO of separate RIA.

Requirements:

Bachelors Degree in related field (recommended)

Series 7, 65, 24 required

Series 3, 4, 55 desirable

5+ years in a compliance/supervisory role

Candidate must be willing to relocate to Dallas, TX

Ideal candidates are self-motivated, established and exhibit a track record of successful industry experience. Qualified applicants must be driven to succeed in a positive and high energy environment. Contact us at resumes@espositoglobal.com to determine how you can join our team of A players with an A plus attitude.