Chief Compliance Officer

Compliance Solutions of New York; New York (NY); On-site; USD 180,000 - 240,000; Full time

Job summary

An established industry player is seeking a Chief Compliance Officer to lead their compliance efforts in a dynamic and entrepreneurial environment. This pivotal role involves ensuring adherence to regulatory requirements, developing compliance programs, and fostering a culture of integrity. You will have the opportunity to shape the compliance landscape while working closely with senior management and regulators. If you have a strong background in compliance within the financial sector and are passionate about ethical conduct, this position offers a chance to make a significant impact in a growing firm.

Benefits

Health insurance

Dental and vision coverage

Paid time off

401(k) with company match

Professional development opportunities

Qualifications

• 7–10 years in senior compliance roles within FINRA-regulated firms.
• Expertise with FINRA, SEC, and MSRB regulations.

Responsibilities

• Lead compliance functions ensuring adherence to federal and state laws.
• Serve as primary contact with regulators and oversee compliance training.

Skills

FINRA compliance

SEC regulations

policy development

regulatory audits

risk assessment

Education

Bachelor's degree

JD or MBA

Job description

Compliance Solutions of New York New York City Metropolitan Area

1 week ago Be among the first 25 applicants

Position: Chief Compliance Officer (CCO)

Compensation: $180,000 – $240,000 base salary, based on experience

Employment Type: Full-Time

Company Overview

Location: New York, NY

Position: Chief Compliance Officer (CCO)

Compensation: $180,000 – $240,000 base salary, based on experience

Employment Type: Full-Time

Company Overview

We are a dynamic and entrepreneurial FINRA-registered broker-dealer headquartered in New York, focused on delivering ethical, compliant, and transparent investment solutions. As we grow our operations, we are seeking a Chief Compliance Officer (CCO) who will lead the firm’s regulatory, supervisory, and compliance functions with integrity, precision, and deep industry knowledge.

Position Summary

The Chief Compliance Officer will be responsible for ensuring that all aspects of the firm’s business operations comply with applicable federal and state securities laws and regulatory requirements. This role is a key member of the senior management team and is responsible for the development, implementation, and oversight of the firm’s compliance program.

Key Responsibilities

·Ensuring adherence to all applicable FINRA, SEC, and other regulatory requirements

·Serve as the primary point of contact with regulators and respond to inquiries, exams, requests, and audits

·Maintaining and updating the firm’s Written Supervisory Procedures (WSPs)

·Ensure appropriate documentation of supervisory practices, escalation procedures, and exception handling

·Responding to regulatory inquiries, examinations, and audits

·Supervising the registration and licensing of associated persons

·Advising management on compliance and risk mitigation

·Conducting periodic compliance reviews and employee training

·Conduct regular risk assessments to identify potential areas of regulatory exposure

·Create and deliver periodic compliance reports to senior management and ownership outlining key risk metrics, incident trends, remediation plans, and regulatory developments

·Monitor, manage, and guide registered representatives, supervisors, and operational personnel to ensure adherence to internal policies and industry standards

·Design and deliver annual compliance training programs, including Firm Element and AML training, ensuring that content remains current and effective

·Establish and oversee a robust supervisory system that includes control testing, branch office supervision, and monitoring of employee conduct and trading activities

·Oversee the firm’s customer complaint intake and resolution process

·Supervise email surveillance, trade surveillance, and suitability review protocols

·Monitor for potential AML violations and collaborate with the AML Officer as needed

·Champion a culture of ethical conduct, integrity, and transparency across the firm

·Investigate potential employee misconduct and enforce disciplinary procedures when necessary

Required Qualifications

·Active FINRA licenses including Series 24, Series 4, and Series 14 (required)

·Minimum of 7–10 years of experience in a senior compliance role within a FINRA-regulated broker-dealer

·Bachelor’s degree required; JD, MBA, or advanced degree preferred

·Demonstrated expertise with FINRA, SEC, MSRB, and state securities regulations

·Experience preparing for and responding to regulatory audits and exams

·Proven track record in policy development, supervisory control frameworks, and compliance leadership

Compensation & Benefits

This position offers a competitive base salary ranging from $180,000 to $240,000 depending on experience, along with a discretionary performance-based bonus. Benefits include health insurance, dental and vision coverage, paid time off, 401(k) with company match, and opportunities for professional development.

How to Apply

Qualified candidates are encouraged to apply via LinkedIn or by sending a resume and cover letter to: [e-mail]. Please include 'Chief Compliance Officer Application' in the subject line.

Seniority level

• Seniority level

  Executive

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

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