Chief Compliance Officer

Company Description

SQN Global (“Sine Qua Non”) provides essential outsourced compliance, regulatory consulting, financial reporting, and operational support to financial services firms. The organization helps broker-dealers and other institutions stay competitive and compliant amid complex, evolving regulatory requirements and high internal staffing costs. SQN Global offers customizable, cost-efficient service packages that cover new member applications, expansions in business lines, and independent annual audits, alongside core outsourced compliance and FinOp services. The team holds a wide range of industry licenses (including Series 4, 7, 14, 24, 27/28, 55/57, 66, 79, 87, and 99), ensuring deep expertise across regulatory and operational roles. Through select consultant partnerships, SQN Global also provides regulatory legal advice, business tax preparation, year-end audits, and cryptocurrency compliance consulting. Role Description The Chief Compliance Officer (CCO) will lead the design, implementation, and oversight of compliance programs across SQN Global’s client base, ensuring adherence to applicable securities, regulatory, and financial industry requirements. This contract, remote role includes developing and updating compliance policies and procedures, conducting risk assessments, and monitoring regulatory changes that impact client operations. The CCO will review and approve marketing and communications for regulatory consistency, oversee reporting and filings, and coordinate with internal and external stakeholders, including regulators, auditors, and legal partners. Day-to-day responsibilities also include supervising compliance testing, managing incident investigations, recommending remediation plans, and providing training and guidance to client teams on best practices. The role requires proactive communication with clients to address compliance inquiries, support new initiatives or product lines, and help maintain a culture of ethical conduct and regulatory readiness.

Qualifications

Demonstrated expertise in Compliance Management and Regulatory Compliance, with experience leading firm-wide compliance programs in the financial services industry. Strong Analytical Skills to assess regulatory risk, interpret complex rules, and design effective controls and monitoring processes. Excellent Communication skills, including the ability to explain regulatory requirements clearly to diverse stakeholders and prepare concise compliance documentation and reports. Solid understanding of Finance, including broker-dealer operations, financial reporting, and the interaction between compliance and financial/operational processes. Relevant FINRA licenses (e.g., Series 14, 24, 27/28 or comparable) and prior experience as a CCO or senior compliance leader in a regulated financial environment. Proven ability to work independently in a remote, client-facing capacity, manage multiple engagements, and meet deadlines in a fast-changing regulatory landscape. Experience with outsourced or consulting models, and familiarity with broker-dealer, investment advisory, or cryptocurrency compliance is highly beneficial.