Chief Compliance Director
17 hours ago
Enoch Wealth Inc. is a leading Exempt Market Dealer seeking an experienced Chief Compliance Officer to join its team.
The successful candidate will lead the development and implementation of a comprehensive compliance program, ensuring the company adheres to all relevant securities regulations and internal policies.
This role involves creating and continuously enhancing Enoch's compliance framework and policies, conducting internal and external audits, and advising the executive team on emerging regulatory changes.
Main Responsibilities:- Developing and implementing a compliance strategy aligned with Enoch's exempt market dealer activities
- Establishing goals and metrics for compliance effectiveness, regularly reporting to senior management on compliance status and areas for improvement
- Providing direction on compliance matters to executive leadership, ensuring compliance is integrated into business strategies
- Bachelor's degree in law, finance, or business required; certifications such as CPA, CFA, or advanced degrees in law or business (JD, MBA) preferred
- Minimum 7-10 years in compliance, ideally within financial services or investment management, with hands-on experience in developing scalable compliance infrastructures
- In-depth knowledge of financial regulations, risk management, and compliance auditing; exceptional analytical, leadership, and communication abilities for managing diverse compliance teams and stakeholders
The ideal candidate will have excellent leadership and communication skills, with the ability to manage multiple priorities and maintain confidentiality when necessary.
A competitive salary is offered, ranging from $100,000 to $150,000 per year, depending on experience.
This is a full-time position, offering a range of benefits including paid time off, tuition reimbursement, and dental care.
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