Chief Compliance Officer

Firm OverviewA 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 SummaryThe 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 ResponsibilitiesOversee, administer, and continuously enhance the firm’s Compliance Program across all broker-dealer and investment banking activitiesServe as the primary point of contact with FINRA, the SEC, MSRB, and state regulators, including leading regulatory examinations, inquiries, and remediation effortsSupervise day-to-day compliance operations, including surveillance reviews, communications monitoring, trading supervision, and regulatory reportingReview and approve marketing materials, public communications, and investment-related content in accordance with FINRA Rule 2210Oversee branch office supervision, including branch inspections, deficiency remediation, escalation, and documentationReview and approve outside business activities, private securities transactions, heightened supervision plans, and disciplinary mattersEnsure timely and accurate regulatory filings, including FINRA 4530 reports, Form U4/U5 amendments, and other required submissionsDraft, maintain, and enforce compliance policies, procedures, and Written Supervisory ProceduresEstablish and execute the annual compliance plan, internal testing program, thematic reviews, and firm-wide risk assessmentsLead firm-wide compliance training initiatives, including Annual Compliance Meetings, AML training, and targeted regulatory educationBuild, mentor, and manage compliance personnel, setting performance expectations and supporting professional developmentProvide regulatory guidance and interpretation to senior management and business leaders, supporting new initiatives and strategic growthRepresent the Compliance Department in management meetings and contribute to firm-level risk mitigation and governance discussionsQualifications:EducationBachelor’s degree requiredAdvanced degree (JD, MBA, MS Finance, or related) strongly preferredLicensingMust hold active FINRA Series 7, Series 24, Series 14, and Series 63 or 66 registrationsExperienceMinimum of 10+ years of broker-dealer compliance experiencePrior experience serving as a Chief Compliance Officer or senior compliance leader at a full-service broker-dealer or investment bankDemonstrated experience leading and responding to FINRA and SEC examinationsSkills and CompetenciesDeep understanding of SEC, FINRA, and MSRB regulatory frameworksStrong supervisory judgment and risk-based decision-making abilityHands-on leadership style with the ability to operate in a fast-paced, on-site environmentExcellent written and verbal communication skillsHigh attention to detail and strong documentation and organizational skillsAbility to manage multiple priorities, regulatory deadlines, and complex compliance issuesCompensation & BenefitsCompetitive base compensationAnnual discretionary bonusMedical insuranceDental insurance401(k) planPaid time off