Kovack Securities Inc, an Independent Broker Dealer/RIA located in South Florida, is searching for a Chief Compliance Officer (CCO) to lead our 200+ Registered Representatives.  Our ideal candidate will have 15+ years in the Financial Services industry with at least 5+ years in a VP+ position.  JD, Series 4, 7, 24, 27, 53, and 66 plus Life/Health Insurance licenses are preferred.  The candidate will preferably have experience at an Independent Broker Dealer/RIA and will have dealt with the following responsibilities:

• Manage, author and adapt firm policies and procedures to keep current with applicable industry regulations.
• Interaction with Regulators during routine audits as well as regulatory inquiries.
• Experience within a dual clearing environment (NFS & Pershing).
• Extensive Background in RIA compliance including multiple custodians.

Our future CCO will have excellent written and oral communication skills, understand that this is a “people business”, and be able make decisions independently.  A clean U-4 is a must.