Overview

A mid-sized international New York City-based brokerage firm seeks a Chief Compliance Officer. The company is involved with institutional brokerage, wealth management and investment banking. The Chief Compliance Officer will be responsible for the day-to-day administration of the Firm’s compliance program.  

I’ve spoken with the heads of the firm and they are smart, nice, friendly and motivated people. They’ve been doing this work for decades. It’s a nice, no-jerks-allowed environment.  

This is a fantastic opportunity to learn a lot. Since they don’t have a big bank bureaucracy, you can interact with the executives and heads of all the business divisions.   

Here’s some of what you will do: 

You can read all the bullet points, but basically you will be the go-to person for Compliance. 

  • Develop, maintain and update the Firm’s compliance policies and procedures 
  • Conduct employee training with respect to the compliance program 
  • Conduct the SEC-required annual review of the Firm’s policies and procedures, including testing of the policies and procedures and participate in the drafting of the report to management regarding the same 
  • Risk assessments; recommend risk mitigation techniques and controls 
  • Review marketing materials and investor communications to ensure compliance with relevant laws and regulations 
  • Oversee the day-to-day administration of the Firm’s code of ethics policies 
  • Respond to regulatory inquiries and third party examiners 
  • Interact with various departments within the organization to ensure consistency in policies and procedures 
  • Monitor new legal and regulatory developments and update policies and procedures 
  • Review, maintain and update the Firm’s regulatory filings, including those with the SEC 

What the company is looking for in a candidate: 

If you are a nice person who can get along with most people, they’d love you. If you have the relevant background, that would be awesome too. 

  • Bachelor’s degree 
  • JD degree is a plus 
  • Around 10 years of experience in a compliance function at an investment bank, brokerage firm or regulator 
  • Possess the ability to analyze situations for compliance and business risk and implement solutions to address and mitigate such risk 
  • Must have strong ethics 
  • Strong written, verbal, analytical, organizational, interpersonal, and managerial skills 
  • A self-starter that enjoys a team-oriented approach

If you are interested in this role, please email Jack Kelly at jkelly@compliancesearch.com.

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