Deputy Chief Compliance Officer (CCO)
Confidential
Deputy Chief Compliance Officer (CCO)
About the Company
Innovative financial services group
Industry
Financial Services
Type
Public Company
Founded
1924
Employees
1001-5000
Categories
- Finance
- Financial Services
- Intellectual Property
- Consumer Discretionary
Specialties
- financial services
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 Chief Compliance Officer in the design, implementation, and oversight of compliance programs across the retail business lines. This includes providing guidance on the Code of Ethics, Written Supervisory Procedures, and regulatory requirements, as well as assisting in annual compliance reviews and performing recurring compliance monitoring and reporting functions. The role also involves reviewing and approving marketing materials for compliance, conducting regulatory research, and supervising staff in compliance initiatives. Applicants must have a Bachelor’s degree or equivalent industry experience, with a preference for a minimum of 5 years' in compliance or related financial services. Strong knowledge of broker-dealer and investment adviser operations, including trading and custody processes, account onboarding, and billing systems, is essential. The role requires the ability to interpret and apply regulatory requirements, strong analytical and problem-solving skills, and advanced proficiency in Microsoft Excel. The ideal candidate will have excellent communication skills, the ability to manage multiple priorities, and a proven track record of building effective working relationships. Leadership skills and the ability to mentor others in a professional and ethical manner are also necessary.
Hiring Manager Title
Chief Compliance Officer
Functions
- Finance
$120k - $170k
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