Chief Compliance Officer / AMLCO

Chief Compliance Officer / AMLCOBull Market Securities, Inc. • Miami, FLBull Market Securities is seeking an experienced Chief Compliance Officer / Anti-Money Laundering ComplianceOfficer (CCO/AMLCO) to serve as the firm's senior regulatory authority and final decision-maker on complianceand AML matters. The role provides oversight and accountability for the compliance and AML programs of ourMiami-based broker-dealer and its affiliated registered investment adviser, Bull Market Investment Management. As a FINRA/SIPC-registered broker-dealer (CRD# 282480) serving high-net-worth and institutional clients across Latin America, our business spans retail and wealth management as well as institutional Emerging Markets Fixed Income sales and trading.The CCO/AMLCO reports directly to the CEO and operates as the firm's oversight, control, and decision-makingfunction, retaining full regulatory accountability for all determinations and filings. We are looking for a senior compliance leader who can evaluate risk through real activity, challenge compliance outputs, and operate as thefinal control point between execution and regulation.Key Responsibilities• Maintain and enforce the firm's supervisory system, written supervisory procedures, and supervisorycontrols testing under FINRA Rules 3110 and 3120.• Prepare the firm's annual compliance report and support the CEO certification process under FINRA Rule3130.• Own the firm's AML program under FINRA Rule 3310, including oversight of transaction monitoring, alertreview, and investigations.• Make final determinations on suspicious activity, SAR filings, and 314(a)/(b) responses; approve allregulatory AML submissions.• Approve high-risk account decisions, foreign financial institution (FFI) relationships, and enhanced duediligence outcomes.• Maintain the affiliated RIA's compliance program under Investment Advisers Act Rule 206(4)-7, includingthe annual compliance review and Form ADV oversight.• Oversee communications and marketing review under FINRA Rule 2210 and SEC Marketing Rule (Rule206(4)-1).• Determine reportability of customer complaints and regulatory events under FINRA Rule 4530; overseeForm U4/U5 and Form BD filings.• Serve as the firm's primary contact for FINRA, SEC, SIPC, and other regulators during exams, audits, andinquiries.• Oversee trading supervision, best execution, and regulatory reporting (TRACE, CAT) across the institutionalEM fixed income desk and retail/wealth business; ensure Reg BI compliance.• Approve new products, business activities, and material changes from a compliance perspective.• Oversee the firm's Business Continuity Plan and lead regulatory response during operational incidents.• Coordinate with clearing partners and FinOp on regulatory matters, and partner with the CEO and Head of Sales & Trading on cross-border supervisory issues involving LatAm jurisdictions.Requirements• 8+ years of compliance experience within a FINRA-registered broker-dealer, with at least 3 years in a seniorcompliance leadership or designated CCO role.• Demonstrated experience as designated CCO and/or AMLCO at a US broker-dealer.• Experience supporting both retail/wealth management and institutional fixed income businesses; experience covering an affiliated RIA strongly preferred.• Comfort operating as an oversight and decision-making function rather than performing primary surveillance directly.• FINRA Licenses Series 7 and Series 24 (required); Series 4 and Series 63/65 or Series 66 preferred.• Series 27, 53, 57, or 79 a plus depending on profile.• Deep knowledge of FINRA Rules (including 3110, 3120, 3130, 3310, 4530, 2210), SEC rules (including Reg BI), the Investment Advisers Act of 1940, BSA/AML, OFAC, and FCPA.• Track record managing FINRA and SEC examinations, audits, and enforcement matters.• Fluent in Spanish (strongly preferred).• Strong written and verbal communication skills in English.• Bachelor's degree required; JD or relevant graduate degree a plus. Industry certifications such as CAMS or CRCP a plus.CompensationBull Market Securities offers a competitive compensation package commensurate with experience, including base salary, performance-based bonus, and benefits.