Chief Compliance Officer: Regulator Liaison & Risk Leader

Advisor Group Inc.; New York (NY); On-site; USD 180,000 - 220,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401k

Paid time away

Volunteer days

Job summary

Ladenburg Thalmann & Co. Inc. seeks a Chief Compliance Officer (CCO) to lead the design and operation of the firm’s compliance framework in New York.

This role owns written supervisory procedures, regulatory attestations, and training to partners and personnel to meet SEC, FINRA, and MSRB requirements. The CCO will interface with regulators and senior management, ensuring effective communications and adapting to evolving rules, with a focus on risk mitigation and internal controls across the

Qualifications

• Bachelor's degree or equivalent education and related training.
• 15+ years in financial industry experience including compliance/risk management.
• Strong leadership in compliance for investment banking and supervision models.
• Experience with SEC/FINRA examinations and advertising/communications review.

Responsibilities

• Develop and maintain a robust compliance program across business units.
• Identify and mitigate compliance risks and maintain regulator relations.
• Maintain internal controls and conduct risk assessments.
• Remediate findings from examinations and audits with business units.
• Provide regular reports to leadership and implement regulatory changes.

Skills

Regulatory compliance

FINRA knowledge

Leadership

Communication

Risk management

Education

Bachelor's degree

Tools

Microsoft Office

Job description

Ladenburg Thalmann & Co. Inc. seeks a Chief Compliance Officer (CCO) to lead the design and operation of the firm’s compliance framework in New York.

This role owns written supervisory procedures, regulatory attestations, and training to partners and personnel to meet SEC, FINRA, and MSRB requirements. The CCO will interface with regulators and senior management, ensuring effective communications and adapting to evolving rules, with a focus on risk mitigation and internal controls across the