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Chief Compliance Officer

Posted Jul 08
Full Time
New York

We are representing an established boutique broker-dealer / investment bank in their search for a Chief Compliance Officer in The Greater New York area.

Why Join Us:

  • Fast-growing and profitable company
  • Opportunity to participate both in operational compliance matters and strategic projects as the business grows


  • Reporting to the CEO, you will oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, policies, training, annual testing, transaction monitoring, and AML compliance
  • Independently manage FINRA relationship, including examinations and routine regulatory requests
  • Manage the firm’s FINRA Gateway filings (i.e., Forms BR, BD, U4s, U5, etc.), coordinate efforts related to broker-dealer audits, inspections, reviews, and examinations, monitoring complaints and reporting as necessary
  • Conduct the Annual Supervisory Review and Testing, and corresponding CEO certification under FINRA Rules 3120 and 3130
  • Manage all aspects of the firm's AML compliance program, including maintenance of AML policies, conducting AML annual training, and managing annual independent audit
  • Oversee completion of training, as required (e.g., Annual Compliance Meeting, Firm Element, Regulatory Element, etc.)
  • Maintain procedures to review and investigate outside business activities to ensure regulatory compliance and mitigate any potential conflicts of interest
  • Maintain and Watch List and Restricted List and lead efforts around employee personal trading compliance
  • Identify areas of potential compliance risk and vulnerability; oversee and drive effective resolution, reporting to senior management, as necessary
  • Communicate compliance issues and trends and provide routine compliance reports to management.
  • Support business teams (e.g., investment banking, equity research and sales and trading) with input on regulatory compliance considerations and implications of their work
  • Liaise with legal and compliance staff at affiliated entities to foster strong internal controls and mitigate risk


  • Demonstrable experience leading a compliance program at a broker-dealer, including strong working knowledge of FINRA Rule 2241 and various rules related to investment banking compliance and regulatory filing
  • Essential FINRA Licenses: 7 and 24
  • You will have a proven operational compliance focus including exposure from a small to medium sized business, with demonstrable exposure to working independently in a hands-on capacity