Deputy Chief Compliance Officer
Location: New York, NY
Employment Type: Full Time | On Site
A financial services firm is seeking a Deputy Chief Compliance Officer to support the Chief Compliance Officer in overseeing, managing, and enhancing the firms Compliance Program. This is a senior leadership role that requires strong regulatory expertise, supervisory experience, and the ability to guide day-to-day compliance operations across multiple business lines.
This role is well suited for an experienced compliance professional who enjoys balancing strategic oversight with hands-on supervision in a fast-paced and highly regulated environment.
Key Responsibilities
Support the CCO in the oversight, execution, and development of the firms Compliance Program
Supervise daily compliance operations including surveillance, monitoring, reviews, and regulatory reporting
Review and approve communications, marketing materials, and public-facing content under FINRA Rule 2210
Lead branch office supervision including advisor oversight and participation in branch exams
Conduct compliance testing, thematic reviews, and internal risk assessments
Help prepare regulatory filings such as Form ADV, Form CRS, 4530 filings, U4 and U5 updates, and other required submissions
Assist with regulatory exams and responses to inquiries from FINRA, SEC, MSRB, and state regulators
Review account applications, OBAs, private securities transactions, and heightened supervision plans
Provide compliance guidance to business units and senior leadership
Support the maintenance of surveillance systems, compliance technologies, and supervisory tools
Assist with annual compliance meetings, AML training, and other firm-wide training initiatives
Draft, maintain, and update compliance policies and WSPs
Mentor compliance analysts and associates, manage workflow, and ensure high-quality output
Participate in internal management meetings and contribute to compliance strategy and planning
Qualifications
Bachelors degree in Finance, Business, Accounting, or a related field
Seven to twelve years of compliance experience in a broker dealer or investment advisory environment
Prior supervisory or managerial experience required
Experience with regulatory exams, inquiries, investigations, and compliance program enhancements
Strong knowledge of FINRA, SEC, MSRB, and state regulatory frameworks
Strong documentation, communication, and analytical skills
Ability to manage multiple priorities in a fast-paced environment
Active FINRA licenses required: Series 7, Series 24, Series 14 , and Series 63 or 66
Benefits
Medical
Dental
401(k)
Paid time off
If you would like to learn more or be considered for this role, please reach out directly:
Jason Himmelstein
Director, Strategic Recruitment and Advisory | CRC-Oyster
E: jhimmelstein@compliance-risk.com
M: (646) 709-0332
...Additional Information About the Role Up to a 2300 Sign on Bonus This Substance Use Counselor position is for the South site on South Lindbergh Business Court in South County This is a hybrid position preferably 3 days in office and 2 days virtually but is flexible...
...Experience exceptional job stability and fulfilling, exciting projects to work on. Spend your days in a clean, well lit, climate-controlled facility that is family owned. We are growing and looking for more CNC Machinists to add to our teams in Meadville and...
...dynamic and non-hierarchical. We are looking for great new colleagues. That is where you come in! Job Description Role - SAP FICO consultant with IS Retail Base Location - San Jose, CA Working Model - Remote with frequent travel to SFO Employment type -...
...Job Description Job Description HIRING NOW! Green Clean Commercial is HIRING an Office Cleaner Part-Time near Hazelwood, MO (in St. Charles, MO) NOW! *This job is conveniently located at the intersection HWY 370 & Elm St. ~ LOCATION: near Hazelwood, MO (...
Im Ryan, a dedicated pet owner in Charlotte, North Carolina, looking for a reliable pet sitter. I need someone who loves animals and... ...boarding, and overnight care. Additionally, dog walking and pet grooming services would be great to have.The position pays $100 daily,...