Chief Compliance & Regulatory Strategy Leader

Osaic; Elm Grove (NY); On-site; USD 180,000 - 220,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401k

Paid time off

Volunteer days

Job summary

Ladenburg Thalmann & Co. Inc., a 150-year-old investment bank, seeks a Chief Compliance Officer in New York to establish and maintain policies, procedures, and internal controls ensuring compliance with securities laws and firm standards.

The CCO will own the maintenance cycle for WSPs and related compliance documentation, including periodic reviews and attestations, and provide advisory support on product, sales practice, advertising, and conduct matters.

Qualifications

• Bachelor's degree or higher in a related field and substantial practical experience accepted in lieu of degree.
• 15+ years of financial industry experience with leadership in compliance/risk management.
• Strong leadership and ability to interact with senior management and regulators.

Responsibilities

• Develop and maintain a robust compliance program aligned with SEC, FINRA, and MSRB requirements.
• Lead tests, risk assessments, and validation of written supervisory procedures (WSPs).
• Provide regulatory advisory support and training to business partners and personnel.
• Coordinate regulatory examinations and remediation programs with multiple control functions.
• Present reports to leadership and maintain ongoing regulatory communications.

Skills

Regulatory compliance leadership

SEC FINRA MSRB knowledge

Training and communication

Risk management

Regulatory examinations coordination

Education

Bachelor's degree

Tools

FINRA Gateway

Microsoft Office

Job description

Ladenburg Thalmann & Co. Inc., a 150-year-old investment bank, seeks a Chief Compliance Officer in New York to establish and maintain policies, procedures, and internal controls ensuring compliance with securities laws and firm standards.

The CCO will own the maintenance cycle for WSPs and related compliance documentation, including periodic reviews and attestations, and provide advisory support on product, sales practice, advertising, and conduct matters.