Our client, a leading self-clearing broker-dealer, is actively seeking a Deputy Chief Compliance Officer to strengthen its regulatory and compliance oversight.
This role is ideal for a seasoned compliance professional with deep experience in broker-dealer environments and a strong understanding of FINRA, SEC, and state regulations. The ideal candidate will possess strong analytical, communication, and leadership skills and will play a critical role in managing compliance functions and mitigating regulatory risk.
What YOU get to DO at this growing company:
Lead and enhance the firm’s Compliance Program by aligning with applicable regulations and risk management practices.
Execute broker-dealer compliance functions, including daily operations and trading oversight.
Monitor and adapt to regulatory changes, updating policies and procedures accordingly.
Conduct the annual compliance review for the broker-dealer entity.
Assist with regulatory exams and annual compliance examinations.
Monitor internal employee communications via the firm’s e-surveillance system.
Work closely with Operations and Trading teams to ensure adherence to regulatory requirements.
Interpret and implement directives impacting the compliance framework.
Coordinate with federal and state regulators to ensure ongoing compliance readiness.
Provide guidance on risk-related programs and respond to compliance inquiries across the organization.
What you NEED to SUCCEED in this challenging role:
Bachelor's degree in Law, Finance, Business Management, or a related field.
5+ years of experience in a compliance leadership role within broker-dealer or financial services.
Series 7 and Series 24 licenses are required.
Demonstrated knowledge of broker-dealer financial responsibility rules.
Experience using Trillium software for trade compliance monitoring.
Strong background in broker-dealer operations or finance.
Exceptional written and verbal communication skills.
Analytical and strategic thinking capabilities with attention to regulatory detail.
What's in it for YOU?
Competitive compensation package based on experience.
Work with a respected broker-dealer in a high-impact compliance leadership role.
Exposure to evolving regulatory frameworks and risk mitigation strategies.
Opportunities to lead, improve, and modernize the compliance function.
Collaborative work environment focused on regulatory integrity and operational excellence.
INDSJ