Deputy Chief Compliance Officer
Confidential
Deputy Chief Compliance Officer
About the Company
Reputable financial services organization
Industry
Financial Services
Type
Public Company
Founded
1924
Employees
11-50
Categories
- E-commerce
- Financial Services
- Consumer Discretionary
- B2C
Specialties
- manufacturer
About the Role
The Company is seeking a Deputy Chief Compliance Officer to join their team. The successful candidate will be responsible for supporting the retail business lines in the design, implementation, and oversight of compliance programs across broker-dealer and investment advisory operations. This role requires the ability to provide guidance on compliance with the Code of Ethics, Written Supervisory Procedures, and regulatory requirements, as well as assisting in the coordination and execution of annual compliance reviews. The Deputy Chief Compliance Officer will also be involved in recurring compliance monitoring, reviewing supervisory activities, and maintaining regulatory disclosures. Strong communication, writing, and analytical skills are essential, along with significant experience in data management and regulatory reporting. Applicants for the Deputy Chief Compliance Officer position at the company should have a Bachelor’s degree or equivalent industry experience, with a preference for a minimum of 5 years' in compliance or related financial services. The role demands a candidate with a strong knowledge of broker-dealer and investment adviser operations, including trading and custody processes, account onboarding, and billing systems. The ideal candidate will have the ability to interpret and apply regulatory requirements, possess advanced proficiency in Microsoft Excel, and demonstrate strong leadership and management skills. Responsibilities also include supervising staff, conducting regulatory research, and collaborating with cross-functional teams to support daily initiatives. The Deputy Chief Compliance Officer will be expected to manage multiple priorities, meet deadlines, and build effective working relationships across business lines.
Hiring Manager Title
Chief Compliance Officer
Functions
- Legal
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Taylor Root
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