Deputy Chief Compliance Officer
8 days ago
New York
Job Description Full Service Broker Dealer and Investment Banking from seeking a Deputy Chief Compliance Officer to join their team! OVERVIEW: Responsible for supporting the Chief Compliance Officer in overseeing the firm’s Compliance Program, supervising day-to-day compliance operations, and ensuring adherence to SEC, FINRA, MSRB, and other applicable regulatory requirements. This role requires strong regulatory expertise, leadership capabilities, and the ability to manage complex compliance workflows across all business lines. The Deputy CCO will help develop, implement, and monitor policies and procedures, supervise compliance staff, conduct risk reviews, and ensure the firm maintains a robust culture of compliance. Essential Duties and Responsibilities • Assist the Chief Compliance Officer in the oversight, execution, and enhancement of the firm’s Compliance Program., • Supervise daily compliance operations, including surveillance reviews, communication monitoring, trading reviews, and regulatory reporting., • Review and approve marketing materials, communications with the public, correspondence, and investment-related content in accordance with FINRA Rule 2210 and firm standards., • Oversee branch office supervision, including periodic branch reviews, advisor oversight, and escalation of identified deficiencies., • Conduct and document internal compliance testing, thematic reviews, and risk assessments in line with the firm’s annual compliance plan., • Assist with the preparation, review, and submission of regulatory filings such as Form ADV updates, Form CRS, 4530 filings, U4/U5 amendments, and other required submissions., • Coordinate and participate in regulatory examinations, responses to inquiries, and preparation of documentation required by FINRA, SEC, and state regulators., • Review and approve new account applications, outside business activities (OBAs), private securities transactions, heightened-supervision plans, and other supervisory items., • Provide guidance and compliance interpretations to business units, senior management, and registered representatives., • Support the implementation and maintenance of compliance systems, surveillance tools, and supervisory technologies., • Assist with firm-wide training programs, including annual compliance meetings (ACMs), AML training, and targeted policy-specific education., • Draft, update, and enforce compliance policies and written supervisory procedures (WSPs)., • Mentor compliance analysts and associates, provide performance feedback, and support professional development., • Represent the Compliance Department in management meetings and contribute to strategic planning and risk mitigation initiatives. Qualifications: • 7+ years of of broker-dealer or investment advisory compliance experience, including supervisory responsibilities. Prior experience responding to regulatory exams or leading compliance projects strongly preferred., • Bachelor’s degree in Finance, Accounting, Business Administration, or a related field. Advanced degree (MBA, JD, MS Finance) preferred., • Must hold FINRA Series 7, 24, and 14 (or equivalent principal registrations). Series 63 or 66 also required., • Deep understanding of FINRA, SEC, and state regulatory frameworks., • High attention to detail, strong documentation habits, and superior organizational skills., • Ability to manage multiple deadlines, shifting priorities, and complex compliance issues., • Strong analytical and problem-solving abilities, including risk-based decision making.