What are the responsibilities and job description for the Deputy Chief Compliance Officer position at Confidential Investment Bank?
Deputy Chief Compliance Officer
Location: New York, NY
Employment Type: Full Time | On Site
A financial services firm is seeking a Deputy Chief Compliance Officer to support the Chief Compliance Officer in overseeing, managing, and enhancing the firm’s Compliance Program. This is a senior leadership role that requires strong regulatory expertise, supervisory experience, and the ability to guide day-to-day compliance operations across multiple business lines.
This role is well suited for an experienced compliance professional who enjoys balancing strategic oversight with hands-on supervision in a fast-paced and highly regulated environment.
Key Responsibilities
• Support the CCO in the oversight, execution, and development of the firm’s Compliance Program
• Supervise daily compliance operations including surveillance, monitoring, reviews, and regulatory reporting
• Review and approve communications, marketing materials, and public-facing content under FINRA Rule 2210
• Lead branch office supervision including advisor oversight and participation in branch exams
• Conduct compliance testing, thematic reviews, and internal risk assessments
• Help prepare regulatory filings such as Form ADV, Form CRS, 4530 filings, U4 and U5 updates, and other required submissions
• Assist with regulatory exams and responses to inquiries from FINRA, SEC, MSRB, and state regulators
• Review account applications, OBAs, private securities transactions, and heightened supervision plans
• Provide compliance guidance to business units and senior leadership
• Support the maintenance of surveillance systems, compliance technologies, and supervisory tools
• Assist with annual compliance meetings, AML training, and other firm-wide training initiatives
• Draft, maintain, and update compliance policies and WSPs
• Mentor compliance analysts and associates, manage workflow, and ensure high-quality output
• Participate in internal management meetings and contribute to compliance strategy and planning
Qualifications
• Bachelor’s degree in Finance, Business, Accounting, or a related field
• Seven to twelve years of compliance experience in a broker dealer or investment advisory environment
• Prior supervisory or managerial experience required
• Experience with regulatory exams, inquiries, investigations, and compliance program enhancements
• Strong knowledge of FINRA, SEC, MSRB, and state regulatory frameworks
• Strong documentation, communication, and analytical skills
• Ability to manage multiple priorities in a fast-paced environment
• Active FINRA licenses required: Series 7, Series 24, Series 14, and Series 63 or 66
Benefits
• Medical
• Dental
• 401(k)
• Paid time off
If you would like to learn more or be considered for this role, please reach out directly:
Jason Himmelstein
Director, Strategic Recruitment and Advisory | CRC-Oyster
E: jhimmelstein@compliance-risk.com
M: (646) 709-0332