Bull Market Securities is seeking an experienced
*Chief Compliance Officer*
(CCO) to lead the regulatory and AML compliance program for our Miami-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 reports directly to the CEO and is responsible for the firm's full compliance and AML program across both the broker-dealer and the affiliated RIA.

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Key Responsibilities
- Serve as the firm's designated Chief Compliance Officer and BSA/AML Compliance Officer under FINRA, SEC, and Bank Secrecy Act requirements, covering both the broker-dealer and the affiliated RIA (Bull Market Investment Management).
- Maintain, update, and enforce the firm's Written Supervisory Procedures (WSP), AML Program, and RIA Compliance Program (Rule 206(4)-7)



in line with applicable rules and the firm's business activities across retail/wealth management and institutional EM fixed income.
- Lead supervisory, surveillance, and review processes across trading, sales, customer onboarding, communications with the public, and registered representative and investment adviser representative activities.
- Manage all regulatory examinations, audits, and inquiries from FINRA, SEC, SIPC, and other authorities, including responses, deficiency letters, and remediation plans.
- Oversee KYC/CIP, EDD, OFAC sanctions screening, and transaction monitoring functions, including the firm's Catalyst (Finwebtech) AML system.
- Manage correspondent banking and counterparty due diligence processes, including responses to clearing firms, structured products distributors, and other financial institution counterparties.
- Conduct annual risk assessments, AML independent testing coordination, and FINRA Rule 3120/3130 an

📌 Chief Compliance Officer (Buenos Aires)
🏢 Bull Market Securities
📍 Buenos Aires