Compliance Officer Jobs in Florida

INTRODUCTION

InspereX is seeking an accomplished and strategic Managing Director, Chief Compliance Officer ("CCO") to lead and administer the firm's comprehensive broker-dealer compliance program. Reporting to the General Counsel, the CCO will serve as the firm's designated Chief Compliance Officer and will be responsible for developing, implementing, and maintaining a risk-based compliance framework designed to ensure adherence with applicable SEC, FINRA, MSRB, and other regulatory requirements. The Managing Director, Chief Compliance Officer serves as a senior member of the firm's leadership team and a trusted advisor to executive management. The CCO partners closely with the General Counsel, Chief Executive Officer, and other senior business leaders to help shape the firm's risk management, governance, and regulatory strategy while supporting continued business growth and innovation. The successful candidate will possess deep expertise in broker-dealer regulation, fixed income capital markets, underwriting activities, institutional sales practices, municipal securities, structured products, and market-linked investments. SEC-registered investment adviser compliance experience is a plus. This individual must be capable of operating both strategically and tactically, providing executive leadership while remaining actively engaged in the oversight and enhancement of the firm's compliance program.

Why Join InspereX

InspereX is built on access, aggregation, and analysis. We connect advisors and institutions to differentiated investment opportunities across structured products, ETFs, private markets, and fixed income solutions. This is a unique opportunity to serve as the senior compliance leader of a growing and innovative financial services firm. The Managing Director, Chief Compliance Officer will partner closely with executive leadership to shape compliance strategy, strengthen regulatory relationships, support business growth, and influence key strategic decisions across the organization.

Primary Responsibilities

Compliance Leadership & Governance:

- Serve as the firm's designated Chief Compliance Officer and primary compliance contact for FINRA, the SEC, MSRB, and other regulatory agencies.
- Lead and continuously enhance the firm's broker-dealer compliance program.
- Establish and maintain a risk-based framework to identify, assess, monitor, and mitigate compliance risks.
- Develop and maintain Written Supervisory Procedures (WSPs), compliance policies, supervisory controls, and governance frameworks.
- Lead the annual Rule 3130 Compliance Program Review and CEO Certification process, including supervisory control testing, risk assessments, remediation efforts, and executive reporting.
- Provide independent compliance guidance and escalate significant compliance, regulatory, supervisory, or reputational risks when appropriate.
- Promote a culture of compliance, accountability, transparency, and ethical conduct throughout the organization.

Regulatory Oversight & Risk Management:

- Lead regulatory examinations, inquiries, investigations, audits, and enforcement matters, including regulatory response coordination and remediation efforts.
- Serve as the firm's primary liaison with regulatory agencies and industry organizations.
- Monitor and interpret regulatory developments affecting broker-dealers, fixed income markets, underwriting activities, municipal securities, institutional sales practices, structured products, and market-linked investments.
- Assess emerging regulatory risks and implement appropriate policy, supervisory, and training enhancements.
- Oversee the firm's compliance risk assessment, surveillance, monitoring, and testing programs.

Business Partnership & Strategic Advisory:

- Serve as the firm's compliance subject matter expert for fixed income securities, municipal securities, underwriting activities, institutional sales practices, structured products, market-linked investments, and related regulations.
- Partner with executive leadership to support strategic initiatives, product development, acquisitions, technology enhancements, and business growth opportunities.
- Ensure compliance considerations are incorporated into new products, business lines, distribution channels, technology platforms, and business processes.
- Provide practical, risk-based compliance guidance that supports business objectives while maintaining regulatory compliance.
- Collaborate closely with Legal, Operations, Finance, Technology, Capital Markets, Product Management, Trading, and Sales leadership.

Supervisory Programs & Compliance Operations:

- Oversee compliance programs supporting the origination, underwriting, distribution, and secondary market trading of fixed income securities, municipal securities, structured products, and market-linked investments.
- Administer supervisory programs, including employee trading, outside business activities, private securities transactions, gifts and entertainment, political contributions, conflicts of interest, information barriers, employee disclosures, and regulatory reporting obligations.
- Oversee branch office inspections, supervisory reviews, and compliance testing programs.
- Review and approve marketing, advertising, educational, and client-facing materials.
- Oversee key aspects of the firm's Anti-Money Laundering (AML) program, including training, independent testing coordination, suspicious activity reviews, sanctions compliance, and regulatory reporting.
- Ensure effective compliance controls are maintained across all business activities.

Firm Education & Training:

- Develop and deliver compliance education and training programs for employees, supervisors, and executive leadership.
- Promote compliance awareness and serve as a trusted resource for regulatory guidance.

Leadership & Team Development:

- Lead, mentor, and develop compliance personnel while fostering accountability, collaboration, and continuous improvement.
- Build strong relationships across the organization and serve as a strategic advisor to senior leadership.
- Demonstrate executive presence, sound judgment, and effective decision-making in complex situations.
- Perform additional duties and strategic initiatives as assigned.

Qualifications

Required

- 10+ years of compliance experience within broker-dealer, capital markets, fixed income, underwriting, institutional securities, or related financial services organizations.
- Significant experience supporting FINRA-registered broker-dealers and interacting directly with regulatory agencies.
- 5+ years of leadership experience managing compliance programs, regulatory initiatives, and/or compliance personnel.
- Active FINRA Series 7 and Series 24 registrations.
- Deep knowledge of FINRA, SEC, and MSRB rules applicable to broker-dealers.
- Experience leading regulatory examinations, investigations, remediation efforts, and regulatory relationships.
- Experience developing and maintaining Written Supervisory Procedures, supervisory controls, compliance monitoring programs, and enterprise compliance frameworks.
- Strong understanding of Anti-Money Laundering (AML) requirements and broker-dealer supervisory obligations.
- Experience supporting fixed income capital markets, debt underwriting, institutional sales practices, municipal securities activities, structured products, broker-dealer distribution platforms, and trading businesses.

Preferred

- Prior experience serving as a Chief Compliance Officer, Deputy Chief Compliance Officer, or senior compliance leader within a regulated broker-dealer environment.
- Prior experience with the SEC and/or FINRA.
- Working knowledge of the Investment Advisers Act of 1940 and experience supporting an SEC-registered investment adviser.
- Strong knowledge of MSRB regulations and municipal securities supervisory requirements.
- Advanced degree, Juris Doctor (JD), MBA, or other relevant professional designation.

Professional Attributes

- Strategic thinker with strong business judgment and commercial awareness.
- Demonstrated executive presence and the ability to influence regulators, executive leadership, and governance stakeholders.
- Exceptional leadership, relationship-building, and communication skills.
- Strong analytical, problem-solving, decision-making, and organizational abilities.
- Ability to balance regulatory obligations with practical business considerations and growth objectives.
- High degree of integrity, professionalism, discretion, and accountability.
- Proficiency with Microsoft Office applications and compliance technology platforms.
- Ability to travel periodically for regulatory matters, branch inspections, industry events, and business needs.

About InspereX

InspereX is a tech-driven fixed income and structured products distribution and trading firm that empowers financial professionals with access to a broad range of investment solutions. Through innovative technology, deep market expertise, and a commitment to service, InspereX helps advisors and institutions efficiently access opportunities across fixed income, market-linked investments, ETFs, and private markets.

InspereX is an Equal Opportunity Employer and is committed to fostering an inclusive workplace. Employment decisions are made without regard to race, color, religion, creed, ancestry, national origin, age, sex, sexual orientation, marital status, military or veteran status, disability, or any other status protected by applicable law.