What are the responsibilities and job description for the Chief Compliance Officer position at Robertson & Company Ltd.?
Job Title:
Chief Compliance Officer
Location:
New York, NY
The Client:
A globally recognized financial institution operating a U.S.-registered broker-dealer, known for its disciplined governance practices and its commitment to ethical, transparent operations. The New York office functions as a key hub for its U.S. securities activities, with a strong emphasis on regulatory rigor, cross-border collaboration, and maintaining the highest standards of compliance oversight.
What you will achieve in this role:
We use AI technology as part of our application review process to assist in screening and assessment.
All applications are also reviewed by our recruitment team.
Chief Compliance Officer
Location:
New York, NY
The Client:
A globally recognized financial institution operating a U.S.-registered broker-dealer, known for its disciplined governance practices and its commitment to ethical, transparent operations. The New York office functions as a key hub for its U.S. securities activities, with a strong emphasis on regulatory rigor, cross-border collaboration, and maintaining the highest standards of compliance oversight.
What you will achieve in this role:
- Oversee all aspects of regulatory compliance for the firm’s U.S. broker-dealer, ensuring alignment with federal and state securities requirements.
- Monitor regulatory changes and guide the implementation of updated compliance controls and procedures.
- Serve as the main point of contact for regulators, coordinating exams, audits, reviews, and formal submissions.
- Lead the development, maintenance, and annual review of the firm’s supervisory framework and internal control environment.
- Direct the firm’s AML, BSA, and sanctions-related programs, including customer onboarding, monitoring, reporting, and mandatory training.
- Manage licensing and registration processes for all registered personnel, ensuring all filings, records, and qualifications remain accurate and up to date.
- Deliver compliance training across a wide range of topics, reinforcing a culture of accountability, ethics, and regulatory awareness.
- Oversee surveillance activities covering trading, communications, and conduct-related risks, including documentation of findings and remediation.
- Review and approve marketing materials and public communications to ensure regulatory conformity and accurate disclosure.
- Collaborate closely with senior leadership and global counterparts to ensure compliance practices align with broader organizational standards and emerging regulatory expectations.
- Must have a minimum of 8 years of senior-level compliance experience within a broker-dealer environment.
- A Bachelor’s degree in a relevant field such as Finance, Business, Law, Accounting, or a related discipline.
- Must have FINRA Series 24 license, with additional securities licenses as appropriate for the role.
- Deep and current knowledge of SEC and FINRA regulations, U.S. securities laws, and applicable AML/BSA/OFAC frameworks.
- Demonstrated success managing regulatory examinations, internal audits, and remediation efforts.
- Strong leadership abilities with the confidence to guide, influence, and enforce compliance expectations across all business units.
- Excellent judgment, strong analytical skills, and the ability to interpret complex regulatory requirements with clarity and precision.
We use AI technology as part of our application review process to assist in screening and assessment.
All applications are also reviewed by our recruitment team.