Job Description

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Job Summary

The role of Chief Compliance Officer (CCO) for Bci Securities, the Broker-Dealer (BD) and Registered Investment Advisor (RIA), will report to the CEO of the broker-dealer and indirectly to the Head of Wealth Management and the Board of Directors. Responsibilities include regulatory compliance for these entities. The CCO will also collaborate with global teams, especially in Latin America.

Duties of the Position

• Establish, maintain, and upgrade standards and procedures for regulatory compliance.
• Manage agreements between entities and BCI Securities – Miami.
• Assess risks and oversee controls to minimize reputational, regulatory, and operational risks.
• Oversee compliance programs, including supervision procedures, transaction monitoring, AML compliance, training, and testing.
• Manage licensing requirements and holdings.
• Handle regulatory interactions, submissions, and responses.
• Support compliance related to supervisory oversight, training, surveillance, exams, licensing, AML, and advertising.
• Collaborate with management and other departments to promote an ethical culture.
• Provide advice on MSRB, FINRA, SEC rules, and internal policies.
• Stay updated on AML regulations and ensure timely filing of SARs, CTRs, and CIMRs.
• Review and approve political contributions, sponsorships, and filings.
• Supervise sales activities and manage KYC processes.
• Research industry best practices and demonstrate strong analytical judgment.
• Lead and manage staff, promote collaboration, and ensure compliance with all duties, including working hours and travel requirements.

Compliance Responsibilities

All staff must comply with applicable regulations, laws, and company policies, including the Bank Secrecy Act, Foreign Corrupt Practices Act, and others.

Pre-Hire Requirements

Proficiency in Microsoft Office and operating IBM-compatible computers.

Education

Bachelor’s Degree required; advanced degree preferred.

Certifications/Licenses

• Anti-Money Laundering certification or equivalent experience.
• Securities Compliance Officer License Series.
• Broker-Dealer General Sales Principal License Series.

Experience

• At least 10 years in a senior compliance role supporting a Broker-Dealer or RIA.
• Experience with regulatory agencies, legal teams, and AML regulations.
• Knowledge of FINRA regulations and MQP parameters.

Additional Details

Senior Executive, Full-time, Bilingual in English and Spanish, willing to travel, and capable of lifting objects up to 25 pounds.

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