Confidential Investment Bank
Deputy Chief Compliance Officer (New York)
Confidential Investment Bank, New York, New York, United States, 10261
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
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