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About the Role

MCM Securities, LLC, an affiliated FINRA-register broker-dealer with United Group, seeks a full-time Chief Compliance Officer for its Corporate office in Troy, NY. This role is crucial for developing, maintaining, and updating compliance procedures in accordance with FINRA and regulatory requirements, overseeing supervisory systems, and ensuring adherence to regulations for private placements, AML, communications, and training.

Responsibilities

Develop, maintain, and update Written Supervisory Procedures (WSPs) in accordance with FINRA Rule 3110 and applicable regulatory requirements.
Ensure WSPs accurately reflect the firm's business model, private placement activities, supervisory structure, and operating practices.
Conduct annual reviews of the firm's compliance program and document required assessments and certifications.
Maintain clear supervisory assignments, delegation records, responsibility matrices, and supporting documentation.
Monitor regulatory developments and implement necessary policy and procedural changes.
Design and administer a reasonable supervisory system appropriate to the firm's size, business activities, and risk profile.
Assign and document supervisory responsibilities for appropriately qualified principals.
Oversee branch office designations, inspections, and supervisory control testing.
Maintain evidence of supervisory reviews, escalations, corrective actions, and follow-up activities.
Evaluate the effectiveness of supervisory controls and promptly address identified deficiencies.
Oversee compliance relating to private placements and Regulation D offerings.
Review issuer due diligence documentation, background checks, offering materials, and related compliance files.
Review and approve offering and marketing materials before distribution, consistent with applicable supervisory requirements.
Monitor compliance with applicable FINRA private placement filing requirements, including Rules 5122 and 5123.
Review compensation arrangements and disclosures for accuracy and consistency with applicable requirements.
Oversee investor eligibility and accredited investor verification procedures, including those applicable to Rule 506(c) offerings.
Identify potential conflicts of interest, disclosure deficiencies, and other material compliance risks.
Oversee the firm's AML compliance program in accordance with FINRA Rule 3310 and applicable federal requirements.
Maintain and periodically review AML policies, procedures, and internal controls.
Oversee customer identification and due diligence procedures, suspicious activity monitoring, and applicable sanctions-screening controls.
Coordinate independent AML testing and ensure identified deficiencies are appropriately remediated.
Ensure required regulatory reporting, including Suspicious Activity Reports (SARs), is completed when applicable.
Serve as the firm's AML Compliance Officer if designated and appropriately authorized.
Supervise business-related communications, advertising, marketing materials, and social media activity in accordance with applicable FINRA requirements.
Review or oversee principal approval of communications as required.
Maintain appropriate records and electronic communication retention controls.
Conduct periodic reviews of email and other business communications.
Identify and escalate misleading statements, inadequate disclosures, prohibited claims, and other communications-related risks.
Coordinate the firm's annual compliance review and related documentation.
Oversee applicable continuing education and training requirements, including the Firm Element of the FINRA Continuing Education program.
Prepare or coordinate supervisory control assessments and related reporting.
Conduct compliance training and periodic reviews of relevant regulatory obligations.
Coordinate mock examinations and readiness assessments to identify and remediate potential weaknesses before regulatory examinations.
Serve as the primary point of contact for FINRA examinations and other applicable regulatory inquiries.
Coordinate document requests, examination submissions, interviews, and internal information gathering.
Prepare and manage responses to examination findings and regulatory inquiries.
Develop corrective action plans and monitor remediation of identified deficiencies.
Maintain a regulatory calendar covering applicable filings, reviews, certifications, and deadlines.
Support FINRA New Member Application (NMA) processes, where applicable, including the development and documentation of the firm's supervisory and compliance framework.
Oversee applicable books and records requirements under SEC Rules 17a-3 and 17a-4.
Monitor net capital compliance in coordination with the Financial and Operations Principal (FINOP).
Oversee applicable business continuity, cybersecurity, and operational resilience controls.
Maintain procedures for customer complaints, insider trading controls, outside business activities, and private securities transactions.
Coordinate with operations, supervisory principals, securities counsel, and outside compliance consultants.
Promote a culture of compliance, accountability, and timely escalation of regulatory concerns.

Requirements

Bachelor's degree in Finance, Economics, Business Administration, Accounting or related field
Possesses applicable FINRA registrations, including Series 24, Series 7, Series 63 and Series 66, as appropriate to the Firm’s business activities and regulatory requirements
5 - 10 years of broker-dealer compliance, supervision, or related securities regulatory experience.
Demonstrated experience developing, reviewing, and implementing Written Supervisory Procedures.
Strong working knowledge of FINRA rules, SEC regulations, and applicable federal securities laws.
Experience overseeing private placements and Regulation D offerings strongly preferred.
Experience evaluating issuer due diligence, offering disclosures, marketing materials, and supervisory documentation.
Experience with a small or growing private placement broker-dealer.
Experience supporting FINRA New Member Applications and establishing supervisory frameworks for newly registered firms.
Experience working directly with FINOPs, securities counsel, and external compliance consultants.
Professional image compatible with United Group/MCM Securities – positive attitude, energetic, assertive.
Demonstrates exceptional personal and professional integrity, a strong work ethic, and excellent verbal and written communication skills.
Demonstrates exceptional business acumen, policy development and drafting capabilities, sound risk assessment and investigative judgment, and strong regulatory interpretation, analytical, and problem-solving skills.

Skills

Written Supervisory Procedures (WSPs)
FINRA Rule 3110
FINRA Rule 3310
Private Placements
Regulation D offerings
FINRA Rule 5122
FINRA Rule 5123
AML compliance
Suspicious Activity Reports (SARs)
FINRA communications and advertising rules
SEC Rules 17a-3
SEC Rules 17a-4
Net capital compliance
Business continuity
Cybersecurity
Operational resilience
Customer complaint procedures
Insider trading controls
Outside business activities
Private securities transactions

Location

Troy, NY

Work Type

Full-Time
Monday – Friday 8:00am – 5:00pm

Experience Level

5 - 10 years

Education Level

Bachelor's degree

Salary/Compensations

$135k - $165k
Discretionary annual bonus ranging from 10% to 30%
Potential for equity or ownership participation

Benefits

Medical – Highmark BlueShield of Northeastern NY – 3 insurance plans with HSA options
Dental
Vision
Company paid Basic Life Insurance Policy (1x Annual Salary) with additional Voluntary Life Plans
401K Retirement Plan – Voya Financial; eligible for up to 4% Company Match
Employee Assistance Program
United Concierge Medicine (24/7 telemedicine service, including Mental Health)
Calm App premium subscription
Learning Care Group (childcare tuition discount)
Dependent Care FSA
Tuition Assistance Program
Personal Time Off (24 Hours)
Sick Time Off (56 Hours)
Vacation Time Off (80 Hours; escalated based on years of service up to 160 Hours)
10 Company Paid Holidays

About the Company

The United Group of Companies, Inc. has over 50 Years in business and is a full-service, vertically integrated leader in real estate development and management.
Mission: to develop, build, and acquire vibrant communities where residents, investors, partners, and commercial clients feel welcome, connected, and fulfilled.
Commitment to innovation and award-winning lifestyle programs.
Voted by employees as one of the Albany Time Union’s Top Workplaces for ten consecutive years.
Nationally recognized as a Top Workplaces USA employer for six years running.
Earned the 2025 Top Real Estate Workplace distinction.
Management company, United Plus Property Management (UPPM), earned the Accredited Management Organization (AMO®) of the Year Award for 2024.

Equal Opportunity

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, disability status, or any other protected class covered by law.