Get AI-powered advice on this job and more exclusive features. A leading self-clearing broker-dealer is seeking a Deputy Chief Compliance Officer to join its Compliance team. This role involves delivering expert regulatory advice and ensuring compliance with FINRA, SEC, and state regulatory requirements. The ideal candidate will be professional, analytical, and possess excellent written and verbal communication skills, with a strong foundation in risk management and broker-dealer industry principles. Responsibilities: Continually enhance the Compliance Program by leveraging regulatory knowledge, risk management techniques, and business insights to maintain and test relevant policies and procedures. Monitor and respond to changes in regulatory requirements impacting the broker-dealer. Develop and maintain broad awareness of investment industry trends and regulatory/policy changes that may impact compliance monitoring or reporting. Research, interpret, and implement regulatory directives affecting the firm’s compliance environment. Support the execution of all broker-dealer compliance functions. Partner with Operations and Trading teams to ensure adherence to applicable rules and regulations. Lead and complete the annual compliance review of the broker-dealer. Assist with regulatory audits and annual compliance examinations. Monitor employee communications in line with the firm’s electronic surveillance program. Coordinate and communicate with federal and state regulators as needed. Plan, implement, and oversee risk-related programs, providing guidance on compliance questions and operational needs. Requirements: Bachelor’s degree in Law, Finance, Business Management, or a related field. 5+ years of experience in a compliance role within a broker-dealer or similar financial services entity. Active Series 7 and Series 24 licenses (or equivalent). Experience using Trillium software for trade compliance management. Strong knowledge of broker-dealer operations or finance. Solid understanding of broker-dealer financial responsibility rules. This is a great opportunity for a compliance professional looking to play a pivotal role in shaping and maintaining a robust regulatory framework within a dynamic trading environment. Seniority level Seniority level Director Employment type Employment type Full-time Job function Job function Legal and Finance Referrals increase your chances of interviewing at recruitAbility by 2x Sign in to set job alerts for “Compliance Officer” roles. New York, NY $120,000.00-$160,000.00 3 weeks ago New York, NY $100,000.00-$140,000.00 2 days ago Compliance Officer - Compliance Risk Assessment - VP New York, NY $140,000.00-$180,000.00 1 week ago Senior Manager of Compliance Communications Vice President, ESG Advisory Compliance Officer New York City Metropolitan Area $120,000.00-$150,000.00 1 week ago Legal, Compliance & Controls Manager, Vice President New York, NY $130,000.00-$150,000.00 3 months ago New York City Metropolitan Area $100,000.00-$150,000.00 1 week ago New York, NY $250,000.00-$350,000.00 4 days ago New York, NY $200,000.00-$250,000.00 1 month ago Team Lead, AML Compliance Investigations Manager – Compliance - Global Commercial Services Marketing New York, NY $90,000.00-$165,000.00 1 week ago Investments Compliance Officer – Portfolio Monitoring Jersey City, NJ $94,800.00-$125,000.00 2 weeks ago Senior Manager, Strategy & Operations - Legal & Compliance New York, NY $176,000.00-$213,000.00 1 week ago Parsippany, NJ $66,330.00-$159,120.00 6 days ago New York City Metropolitan Area 1 week ago Corporate / Board Secretary - Assistant Vice President / Vice President New York, NY $170,000.00-$254,500.00 1 week ago New York, NY $150,000.00-$175,000.00 4 days ago Head of Investment and Corporate Banking Regulatory Compliance (“ICBRC”) Americas – Director New York, NY $250,000.00-$300,000.00 1 week ago Senior Manager - Compliance Programs Governance New York, NY $110,760.00-$178,880.00 3 weeks ago New York City Metropolitan Area $175,000.00-$225,000.00 2 weeks ago VP - Legal & Compliance (Financial Services) New York City Metropolitan Area $175,000.00-$225,000.00 2 weeks ago Legal and Compliance Manager (Legal Hospitality Experience required) New York, NY $120,000.00-$160,000.00 3 days ago Director, Employee Relations & Compliance Director of Government Contracts & Quality Assurance New York, NY $90,000.00-$100,000.00 2 months ago Compliance & Consumer Protection Senior Manager New York, NY $132,500.00-$302,400.00 2 weeks ago New York City Metropolitan Area $150,000.00-$175,000.00 5 days ago Americas Corporate Secretarial Chief Operating Officer - Company Law Group New York, NY $90,000.00-$155,000.00 5 days ago New York, NY $185,000.00-$230,000.00 2 weeks ago New York, NY $85,000.00-$135,000.00 5 days ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr recruitAbility
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