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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
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