Broker Dealer CCO

If you do not currently have a Series 7 and 24, you cannot be considered for this role.

Broker-Dealer Chief Compliance Officer

Position Overview

A leading financial services organization is seeking an experienced Chief Compliance Officer (CCO) to oversee compliance for its broker-dealer businesses. This is a highly visible role with significant responsibility for the design, implementation, and ongoing administration of the broker-dealer compliance program.

The CCO will work closely with senior management, legal, trading, operations, portfolio management, and the affiliated investment advisory compliance team to ensure compliance with applicable SEC, FINRA, state, and other regulatory requirements
.

This is a lean compliance team, making this an excellent opportunity for someone who wants meaningful ownership and visibility across the business. The firm is also open to a strong #2 to a Broker-Dealer CCO who is ready to step into the top compliance role
.

Key Responsibilities

• Own and administer the broker-dealer compliance program, including policies, procedures, controls, testing, monitoring, and employee training.
• Develop and maintain Written Supervisory Procedures (WSPs) and other compliance policies based on regulatory requirements, industry practices, and internal controls.
• Provide oversight of trading-related compliance activities across equities, fixed income, foreign exchange, and derivative products
  .
• Monitor trading activity and supervise compliance with Best Execution and other applicable trading requirements.
• Partner closely with portfolio managers and trading professionals and understand the full trade lifecycle and flow of activity.
• Conduct daily, weekly, monthly, and quarterly compliance reviews, including securities transaction reviews.
• Lead and manage FINRA and SEC examinations, regulatory inquiries, audits, and other regulatory reviews.
• Oversee AML, KYC, and Customer Identification Program (CIP) requirements.
• Provide compliance approval for new accounts and client onboarding.
• Conduct and oversee client and product due diligence.
• Develop and implement risk assessments, internal audits, automated surveillance, and compliance monitoring programs.
• Advise senior management and employees on applicable securities laws, regulations, and firm policies.
• Monitor regulatory developments and proactively assess their impact on the business.
• Work closely with legal and regulatory teams on emerging requirements, regulatory matters, litigation, and arbitration.
• Develop, implement, and monitor supervisory procedures relating to sales, trading, operations, custody, and securities activities.
• Prepare clear and professional correspondence, policies, procedures, and other documentation for regulators, auditors, and internal stakeholders.
• Serve as a key liaison between business leadership, legal counsel, compliance, and regulators.
• Promote a strong culture of compliance throughout the organization.

Required Experience & Qualifications

• 2-3+ years of experience serving as a Chief Compliance Officer of a FINRA-registered broker-dealer
  , or substantial experience as a senior broker-dealer compliance professional ready to step into the CCO role.
• 7-10+ years of overall securities compliance and/or securities-related legal experience.
• Current Series 7 and Series 24 licenses required.
• Series 53 preferred and expected to be obtained within approximately 12-14 months if applicable.
• Strong knowledge of FINRA, SEC, and state securities rules and regulations.
• Demonstrated experience managing FINRA examinations and regulatory inquiries.
• Strong experience with trading oversight
  , particularly across equities, fixed income, FX, and derivatives.
• Understanding of institutional trading environments and interaction with portfolio managers.
• Strong knowledge of Best Execution, trade surveillance, AML, KYC, CIP, licensing, registration, and WSP requirements.
• Bachelor’s degree required; J.D. is a plus.

Ideal Candidate

The ideal candidate is an experienced broker-dealer compliance professional who is comfortable operating in a lean, hands-on environment and taking ownership of the entire compliance function.

The organization is particularly interested in…