Job Description

Job Description

Firm Overview

A New York–based, full-service broker-dealer and investment bank providing investment banking, brokerage, trading, and capital markets services to institutional and corporate clients. The firm operates in a highly regulated, execution-focused environment with a strong emphasis on regulatory discipline, supervisory oversight, and day-to-day compliance engagement across all business lines.

Position Summary

The Chief Compliance Officer is responsible for the overall design, execution, and oversight of the firm’s enterprise-wide Compliance Program. This role serves as the senior compliance authority and primary regulatory liaison, ensuring adherence to SEC, FINRA, MSRB, and other applicable regulatory requirements.

The CCO is expected to be highly hands-on, actively involved in daily compliance operations, supervisory oversight, regulatory examinations, and strategic decision-making. This role partners closely with executive management, investment banking leadership, trading, operations, and legal teams to maintain a strong culture of compliance and risk management.

Essential Duties and Responsibilities

• Oversee, administer, and continuously enhance the firm’s Compliance Program across all broker-dealer and investment banking activities
• Serve as the primary point of contact with FINRA, the SEC, MSRB, and state regulators, including leading regulatory examinations, inquiries, and remediation efforts
• Supervise day-to-day compliance operations, including surveillance reviews, communications monitoring, trading supervision, and regulatory reporting
• Review and approve marketing materials, public communications, and investment-related content in accordance with FINRA Rule 2210
• Oversee branch office supervision, including branch inspections, deficiency remediation, escalation, and documentation
• Review and approve outside business activities, private securities transactions, heightened supervision plans, and disciplinary matters
• Ensure timely and accurate regulatory filings, including FINRA 4530 reports, Form U4/U5 amendments, and other required submissions
• Draft, maintain, and enforce compliance policies, procedures, and Written Supervisory Procedures
• Establish and execute the annual compliance plan, internal testing program, thematic reviews, and firm-wide risk assessments
• Lead firm-wide compliance training initiatives, including Annual Compliance Meetings, AML training, and targeted regulatory education
• Build, mentor, and manage compliance personnel, setting performance expectations and supporting professional development
• Provide regulatory guidance and interpretation to senior management and business leaders, supporting new initiatives and strategic growth
• Represent the Compliance Department in management meetings and contribute to firm-level risk mitigation and governance discussions

Qualifications:

Education

• Bachelor’s degree required
• Advanced degree (JD, MBA, MS Finance, or related) strongly preferred

Licensing

• Must hold active FINRA Series 7, Series 24, Series 14, and Series 63 or 66 registrations

Experience

• Minimum of 10+ years of broker-dealer compliance experience
• Prior experience serving as a Chief Compliance Officer or senior compliance leader at a full-service broker-dealer or investment bank
• Demonstrated experience leading and responding to FINRA and SEC examinations

Skills and Competencies

• Deep understanding of SEC, FINRA, and MSRB regulatory frameworks
• Strong supervisory judgment and risk-based decision-making ability
• Hands-on leadership style with the ability to operate in a fast-paced, on-site environment
• Excellent written and verbal communication skills
• High attention to detail and strong documentation and organizational skills
• Ability to manage multiple priorities, regulatory deadlines, and complex compliance issues

Compensation & Benefits

• Competitive base compensation
• Annual discretionary bonus
• Medical insurance
• Dental insurance
• 401(k) plan
• Paid time off

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