Chief Compliance Officer

Chief Compliance Officer - EF Hutton

The Company
EF Hutton, division of Benchmark Investments, LLC

Organization
Our firm is a global investment bank founded by experienced investment professionals that have collectively financed over $50 billion in public and private capital markets. Our firm provides a variety of Investment Banking and Advisory services including Equity Financing, Debt Financing and Private Equity Banking. Our team is dedicated to providing objective strategic advice and financing solutions to companies across a full range of industries.

Visit Our Website: www.efhuttongroup.com

Responsibility:

  • Maintain all compliance policies and procedures
  • Manage all compliance controls and compliance risk of the firm
  • Oversee firmwide regulatory processes
  • Refine daily procedures and practices from a compliance standpoint
  • Develop and submit required regulatory filings and disclosure documents
  • Establish and maintain organizational system for firmwide records in preparation for potential audits and/or regulatory examinations
  • Maintain continuous knowledge of both federal & state regulatory policies
  • Work closely with regulators, examiners and legal counsels as necessary
  • Review marketing materials for approval
  • Conduct mandatory firmwide compliance meetings when appropriate
  • Track license/exam status of all employees

Qualifications:

  • Strong organizational skills and ability to multitask
  • Thorough knowledge of regulatory and supervisory principles & procedures
  • Extensive knowledge of relevant laws and regulations
  • Maximum standards of both personal and professional ethics and integrity
  • Strict attention to detail with demonstrated ability to take initiative
  • Strong interpersonal skills
  • Excellent written and verbal communications skills
  • Bachelor’s degree in Finance or equivalent required
  • 10+ years of regulatory and compliance experience desired
  • Series 14 license required