Confidential Investment Bank · 4 days ago
Chief Compliance Officer
New York, United States
Full-time
Hybrid
Director/ExecutiveConfidential Investment Bank is a rapidly growing full-service investment banking firm headquartered in New York seeking a Chief Compliance Officer to lead and enhance its compliance framework. The role involves overseeing the firm’s compliance program, ensuring adherence to regulatory requirements, and working closely with senior leadership to align compliance initiatives with business objectives.
Banking
Hiring Manager
Jason Himmelstein
Responsibilities
Lead the firm’s overall compliance program across investment banking, trading, and operations
Serve as the firm’s primary liaison with regulators, auditors, and external counsel
Conduct internal reviews and risk assessments to identify and mitigate compliance risks
Develop and maintain policies, procedures, and training programs
Supervise reporting, recordkeeping, and surveillance functions related to trading and investment banking
Partner with business leaders to ensure compliance supports operational efficiency and strategic goals
Stay current on regulatory developments and guide leadership on their impact
Oversee a small, in-house compliance team supported by operations personnel
Qualification
Required
Strong background in regulatory compliance within investment banking, brokerage, or capital markets
Deep knowledge of SEC and FINRA rules, including 15c3-1, 15c3-3, AML/KYC, and Reg BI
Proven ability to design and manage compliance programs that support business growth
Excellent communication, leadership, and relationship-management skills
Bachelor's degree required
Preferred
JD, MBA, or relevant certifications preferred
Series 7, 24, 14, or 27 preferred
Benefits
Competitive compensation package with performance-based incentives.
Negotiable benefits and flexible work arrangements.
Company
Confidential Investment Bank
0-1 employeesFunding
Current Stage
Early StageCompany data provided by crunchbase