CHIEF OPERATING OFFICER Full Time

FAST GROWING INSTITUTIONAL BROKER DEALER SEEKING CHIEF OPERATING OFFICER

Responsibilities:  Oversee Compliance and Back Office

Coordinate and supervise compliance/and Operations teams on improving work flow, policies, procedures per regulatory requirements, staffing and other operational issues.

Oversee FINRA and SEC procedures and inquiry responses, acting as key contact for the regulators.

Ideal candidate can anticipate growth opportunities.

Desired qualifications:

10+ years of experience in Institutional Broker Dealer regulatory related work.  Familiar with compliance, back office and trading of Fixed Income and Equities.

Series 7, 24, 63, 27, 53 and 3

Position located in Newport Beach, CA and corporate headquarters.