Chief Compliance Officer

Overview

Burnham Sterling is a successful boutique investment banking and asset management firm in expansion mode. The firm focuses on asset finance for large global corporate clients ($40 billion in annual revenue) and has recently expanded into renewable energy. The firm operates a FINRA-registered broker-dealer and SEC-registered investment adviser. We are seeking a highly detail-oriented and motivated professional for a 100%-in-office, full-time, in-office Chief Compliance Officer & Accounting Associate role in Greenwich, Connecticut. This position offers significant exposure across compliance, accounting, and firm operations within a fast-paced, high-performance environment.

Role Summary

This role combines two part-time roles into one full-time role: (i) Chief Compliance Officer responsibilities across the broker-dealer, investment adviser and unregulated company and (ii) financial reporting work related to the firm’s accounting statements (including QuickBooks) . The candidate will work closely with senior leadership and gain exposure to regulatory strategy, financial reporting, and multi-entity operations.

Key Responsibilities – Compliance

1. Act as FinOp and Chief Compliance Officer for the broker-dealer, investment advisor and unregulated company
2. Oversee, maintain and enhance compliance programs across the broker-dealer and investment adviser
3. Update written supervisory procedures, compliance manuals, and internal controls
4. Prepare and support regulatory filings and examinations (FINRA, SEC, state regulators)
5. Monitor communications, marketing materials, and trading activity for regulatory compliance
6. Assist with AML, KYC, and other regulatory programs
7. Coordinate compliance testing, risk assessments, and annual reviews
8. Support interactions with regulators, auditors and external advisors and consultants
9. Track regulatory developments and assist in assessing their impact on firm operations
10. Administer compliance training across the firm
11. Oversea compliance related to the firms’ business activities outside the US

Key Responsibilities – Accounting

1. Complete accounting and financial operations across affiliated entities
2. Assist with general ledger maintenance, reconciliations and close processes
3. Support accounts payable/receivable and expense tracking
4. Assist with intercompany transactions and allocations
5. Contribute to financial reporting and internal analysis
6. Participate in operational and administrative projects across the firm

Qualifications

1. 5 years of experience in FINRA compliance and accounting, audit, or financial operations
2. High attention to detail with strong organizational and analytical skills
3. Ability to manage multiple responsibilities in a fast-paced environment
4. Strong written and verbal communication skills
5. Self-motivated, proactive, and comfortable working in a high-performance culture

Preferred

1. FINRA licenses (Series 7, 24, 27, 63/66) or willingness to obtain
2. Experience working in compliance at a broker-dealer and investment adviser
3. Experience with private funds or multi-entity structures
4. Accounting background (CPA track or similar a plus)

Firm Platform

Burnham Sterling offers a differentiated platform, including proprietary structuring capabilities, deep institutional investor relationships and a global client base of large corporate issuers. The firm provides a unique opportunity to gain hands-on experience across investment banking, asset management, compliance, and financial operations.

Compensation & Environment

Competitive base salary and discretionary bonus. The role is 100% in-office in Greenwich, CT and offers significant growth potential for candidates seeking long-term development within a high-performing financial services firm. A comprehensive benefit package, including medical, dental, retirement plan, individual Greenwich Water Club membership and a paid 3-month sabbatical every 6 years, is offered.

Licensing

The firm will support obtaining required FINRA licenses for candidates who do not currently hold them, with an expectation of completion within a defined onboarding period.