Confidential Investment Bank · 3 weeks ago
Deputy Chief Compliance Officer
New York, NY
Full-time
Onsite
Director/Executive
7+ years expConfidential Investment Bank is seeking a Deputy Chief Compliance Officer to support the Chief Compliance Officer in enhancing the firm’s Compliance Program. This senior leadership role involves overseeing compliance operations, regulatory reporting, and providing guidance to business units and senior leadership.
Banking
Hiring Manager
Jason Himmelstein
Responsibilities
Support the CCO in the oversight, execution, and development of the firm’s 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
Qualification
Required
Bachelor's 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
Company
Confidential Investment Bank
0-1 employeesFunding
Current Stage
Early StageCompany data provided by crunchbase