recruitAbility
Get AI-powered advice on this job and more exclusive features.
A leading self-clearing broker-dealer is seeking a
Deputy Chief Compliance Officer
to join its Compliance team. This role involves delivering expert regulatory advice and ensuring compliance with FINRA, SEC, and state regulatory requirements. The ideal candidate will be professional, analytical, and possess excellent written and verbal communication skills, with a strong foundation in risk management and broker-dealer industry principles. Responsibilities: Continually enhance the Compliance Program by leveraging regulatory knowledge, risk management techniques, and business insights to maintain and test relevant policies and procedures. Monitor and respond to changes in regulatory requirements impacting the broker-dealer. Develop and maintain broad awareness of investment industry trends and regulatory/policy changes that may impact compliance monitoring or reporting. Research, interpret, and implement regulatory directives affecting the firm’s compliance environment. Support the execution of all broker-dealer compliance functions. Partner with Operations and Trading teams to ensure adherence to applicable rules and regulations. Lead and complete the annual compliance review of the broker-dealer. Assist with regulatory audits and annual compliance examinations. Monitor employee communications in line with the firm’s electronic surveillance program. Coordinate and communicate with federal and state regulators as needed. Plan, implement, and oversee risk-related programs, providing guidance on compliance questions and operational needs. Requirements: Bachelor’s degree in Law, Finance, Business Management, or a related field. 5+ years of experience in a compliance role within a broker-dealer or similar financial services entity. Active Series 7 and Series 24 licenses (or equivalent). Experience using
Trillium software
for trade compliance management. Strong knowledge of broker-dealer operations or finance. Solid understanding of broker-dealer financial responsibility rules. This is a great opportunity for a compliance professional looking to play a pivotal role in shaping and maintaining a robust regulatory framework within a dynamic trading environment. Seniority level
Seniority level Director Employment type
Employment type Full-time Job function
Job function Legal and Finance Referrals increase your chances of interviewing at recruitAbility by 2x Sign in to set job alerts for “Compliance Officer” roles.
New York, NY $120,000.00-$160,000.00 3 weeks ago New York, NY $100,000.00-$140,000.00 2 days ago Compliance Officer - Compliance Risk Assessment - VP
New York, NY $140,000.00-$180,000.00 1 week ago Senior Manager of Compliance Communications
Vice President, ESG Advisory Compliance Officer
New York City Metropolitan Area $120,000.00-$150,000.00 1 week ago Legal, Compliance & Controls Manager, Vice President
New York, NY $130,000.00-$150,000.00 3 months ago New York City Metropolitan Area $100,000.00-$150,000.00 1 week ago New York, NY $250,000.00-$350,000.00 4 days ago New York, NY $200,000.00-$250,000.00 1 month ago Team Lead, AML Compliance Investigations
Manager – Compliance - Global Commercial Services Marketing
New York, NY $90,000.00-$165,000.00 1 week ago Investments Compliance Officer – Portfolio Monitoring
Jersey City, NJ $94,800.00-$125,000.00 2 weeks ago Senior Manager, Strategy & Operations - Legal & Compliance
New York, NY $176,000.00-$213,000.00 1 week ago Parsippany, NJ $66,330.00-$159,120.00 6 days ago New York City Metropolitan Area 1 week ago Corporate / Board Secretary - Assistant Vice President / Vice President
New York, NY $170,000.00-$254,500.00 1 week ago New York, NY $150,000.00-$175,000.00 4 days ago Head of Investment and Corporate Banking Regulatory Compliance (“ICBRC”) Americas – Director
New York, NY $250,000.00-$300,000.00 1 week ago Senior Manager - Compliance Programs Governance
New York, NY $110,760.00-$178,880.00 3 weeks ago New York City Metropolitan Area $175,000.00-$225,000.00 2 weeks ago VP - Legal & Compliance (Financial Services)
New York City Metropolitan Area $175,000.00-$225,000.00 2 weeks ago Legal and Compliance Manager (Legal Hospitality Experience required)
New York, NY $120,000.00-$160,000.00 3 days ago Director, Employee Relations & Compliance
Director of Government Contracts & Quality Assurance
New York, NY $90,000.00-$100,000.00 2 months ago Compliance & Consumer Protection Senior Manager
New York, NY $132,500.00-$302,400.00 2 weeks ago New York City Metropolitan Area $150,000.00-$175,000.00 5 days ago Americas Corporate Secretarial Chief Operating Officer - Company Law Group
New York, NY $90,000.00-$155,000.00 5 days ago New York, NY $185,000.00-$230,000.00 2 weeks ago New York, NY $85,000.00-$135,000.00 5 days ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr
Deputy Chief Compliance Officer
to join its Compliance team. This role involves delivering expert regulatory advice and ensuring compliance with FINRA, SEC, and state regulatory requirements. The ideal candidate will be professional, analytical, and possess excellent written and verbal communication skills, with a strong foundation in risk management and broker-dealer industry principles. Responsibilities: Continually enhance the Compliance Program by leveraging regulatory knowledge, risk management techniques, and business insights to maintain and test relevant policies and procedures. Monitor and respond to changes in regulatory requirements impacting the broker-dealer. Develop and maintain broad awareness of investment industry trends and regulatory/policy changes that may impact compliance monitoring or reporting. Research, interpret, and implement regulatory directives affecting the firm’s compliance environment. Support the execution of all broker-dealer compliance functions. Partner with Operations and Trading teams to ensure adherence to applicable rules and regulations. Lead and complete the annual compliance review of the broker-dealer. Assist with regulatory audits and annual compliance examinations. Monitor employee communications in line with the firm’s electronic surveillance program. Coordinate and communicate with federal and state regulators as needed. Plan, implement, and oversee risk-related programs, providing guidance on compliance questions and operational needs. Requirements: Bachelor’s degree in Law, Finance, Business Management, or a related field. 5+ years of experience in a compliance role within a broker-dealer or similar financial services entity. Active Series 7 and Series 24 licenses (or equivalent). Experience using
Trillium software
for trade compliance management. Strong knowledge of broker-dealer operations or finance. Solid understanding of broker-dealer financial responsibility rules. This is a great opportunity for a compliance professional looking to play a pivotal role in shaping and maintaining a robust regulatory framework within a dynamic trading environment. Seniority level
Seniority level Director Employment type
Employment type Full-time Job function
Job function Legal and Finance Referrals increase your chances of interviewing at recruitAbility by 2x Sign in to set job alerts for “Compliance Officer” roles.
New York, NY $120,000.00-$160,000.00 3 weeks ago New York, NY $100,000.00-$140,000.00 2 days ago Compliance Officer - Compliance Risk Assessment - VP
New York, NY $140,000.00-$180,000.00 1 week ago Senior Manager of Compliance Communications
Vice President, ESG Advisory Compliance Officer
New York City Metropolitan Area $120,000.00-$150,000.00 1 week ago Legal, Compliance & Controls Manager, Vice President
New York, NY $130,000.00-$150,000.00 3 months ago New York City Metropolitan Area $100,000.00-$150,000.00 1 week ago New York, NY $250,000.00-$350,000.00 4 days ago New York, NY $200,000.00-$250,000.00 1 month ago Team Lead, AML Compliance Investigations
Manager – Compliance - Global Commercial Services Marketing
New York, NY $90,000.00-$165,000.00 1 week ago Investments Compliance Officer – Portfolio Monitoring
Jersey City, NJ $94,800.00-$125,000.00 2 weeks ago Senior Manager, Strategy & Operations - Legal & Compliance
New York, NY $176,000.00-$213,000.00 1 week ago Parsippany, NJ $66,330.00-$159,120.00 6 days ago New York City Metropolitan Area 1 week ago Corporate / Board Secretary - Assistant Vice President / Vice President
New York, NY $170,000.00-$254,500.00 1 week ago New York, NY $150,000.00-$175,000.00 4 days ago Head of Investment and Corporate Banking Regulatory Compliance (“ICBRC”) Americas – Director
New York, NY $250,000.00-$300,000.00 1 week ago Senior Manager - Compliance Programs Governance
New York, NY $110,760.00-$178,880.00 3 weeks ago New York City Metropolitan Area $175,000.00-$225,000.00 2 weeks ago VP - Legal & Compliance (Financial Services)
New York City Metropolitan Area $175,000.00-$225,000.00 2 weeks ago Legal and Compliance Manager (Legal Hospitality Experience required)
New York, NY $120,000.00-$160,000.00 3 days ago Director, Employee Relations & Compliance
Director of Government Contracts & Quality Assurance
New York, NY $90,000.00-$100,000.00 2 months ago Compliance & Consumer Protection Senior Manager
New York, NY $132,500.00-$302,400.00 2 weeks ago New York City Metropolitan Area $150,000.00-$175,000.00 5 days ago Americas Corporate Secretarial Chief Operating Officer - Company Law Group
New York, NY $90,000.00-$155,000.00 5 days ago New York, NY $185,000.00-$230,000.00 2 weeks ago New York, NY $85,000.00-$135,000.00 5 days ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr