Managing Director, Chief Compliance Officer

Managing Director, Chief Compliance Officer

Our client has pioneered the delivery of innovative strategies to the retail market and has become an industry leader in underwriting, marketing, and distributing structured products, ETFs, alternative investments, and fixed income securities. They provide issuers with differentiated distribution capabilities while supporting investors and advisors with unique solutions, all delivered through personalized service enhanced by technology that integrates market intelligence and streamlines workflows.

They represent more than 500 issuing entities, distribute to more than 1,500 partners, and have distributed more than $850 billion of new issue securities. The firm has six trading desks and more than 190 employees with offices in Florida, Illinois, New York, and Arkansas.

This is a unique opportunity to serve as the senior compliance leader for a growing and innovative fixed income and market-linked securities firm. The Managing Director, Chief Compliance Officer will play a critical role in shaping the firm's compliance strategy, partnering with executive leadership, influencing key business decisions, strengthening regulatory relationships, and supporting the continued growth and evolution of the organization.

The company offers a collaborative, entrepreneurial environment where talented professionals have the opportunity to make meaningful contributions and directly impact the firm's future success.

We are seeking an accomplished and strategic Managing Director, Chief Compliance Officer ("CCO") to lead on a firm-wide basis and administer the firm's comprehensive broker-dealer compliance program. Reporting to the General Counsel, the CCO will serve as the firm's designated Chief Compliance Officer and will be responsible for developing, implementing, and maintaining a risk-based compliance framework designed to ensure adherence with applicable SEC, FINRA, MSRB, and other regulatory requirements.

The Chief Compliance Officer serves as a senior member of the firm's leadership team and a trusted advisor to executive management. The CCO partners closely with the General Counsel, Chief Executive Officer, and other senior business leaders to help shape the firm's risk management, governance, and regulatory strategy while supporting continued business growth and innovation.

The successful candidate will possess deep expertise in broker-dealer regulation, fixed income capital markets, underwriting activities, institutional sales practices, municipal securities, structured products, and market-linked investments. SEC-registered investment advisor compliance experience is a plus. This individual must be capable of operating both strategically and tactically, providing executive leadership while remaining actively engaged in the execution, oversight, and enhancement of the firm's compliance program.

Compliance Leadership & Governance

• Serve as the firm's designated Chief Compliance Officer and primary compliance contact for FINRA, the SEC, MSRB, and other regulatory agencies.
• Lead the development, implementation, administration, and ongoing enhancement of the firm's broker-dealer compliance program.
• Establish and maintain a risk-based compliance framework designed to identify, assess, monitor, and mitigate regulatory and compliance risks across the organization.
• Develop, maintain, and periodically review the firm's Written Supervisory Procedures (WSPs), compliance policies, supervisory controls, and governance framework to ensure alignment with regulatory requirements and business practices.
• Lead the firm's annual Rule 3130 Compliance Program Review and CEO Certification process, including oversight of supervisory control testing, compliance assessments, risk evaluations, remediation efforts, and executive reporting.
• Provide independent compliance guidance and, when appropriate, escalate significant compliance, regulatory, supervisory, or reputational risks to executive management and applicable governance bodies.
• Foster a culture of compliance, accountability, transparency, and ethical conduct throughout the organization.

Regulatory Oversight & Risk Management

• Lead all regulatory examinations, inquiries, investigations, audits, and enforcement matters, including preparation, coordination of responses, remediation efforts, and ongoing regulatory relationship management.
• Serve as the firm's primary liaison with regulatory agencies and maintain productive working relationships with regulators and industry organizations.
• Monitor and interpret regulatory developments impacting broker-dealers, fixed income markets, underwriting activities, municipal securities, institutional sales practices, structured products, and market-linked investments.
• Assess emerging regulatory risks and implement appropriate policy, procedural, supervisory, and training enhancements.
• Oversee the firm's annual compliance risk assessment and risk-based testing program.
• Lead compliance surveillance, monitoring, and testing…