A well-regarded multi-$BN Retail Broker-Dealer in the NY/NJ area seeks a Chief Compliance Officer


  • Lead the Compliance Department Work across multiple departments including Sales, Risk, Compliance, Audit, and Regulatory Response.
  • Oversee compliance advisory function for a broker-dealer, Registered Investment Advisor, and Insurance Affilliates
  • Serve as primary contact for Regulatory Agencies and Auditors.
  • Design and develop policies, procedures and operational controls to achieve compliance with securities laws to prevent violations of regulatory laws, rules and regulations.
  • Conduct inspections, create reports and meet with the CEO, in accordance with supervisory controls rules under FINRA Rule 3130.
  • Meet all requirements for regulatory filings (e.g., Forms BD, BR, U4, U5, ADV and filings including 4530, 13f).
  • Manage permanent and contractual compliance staff.
  • Examine municipal activities in accordance with MSRB rules.
  • Chair Compliance and Governance Steering committees.
  • Recommend and support selection and retention of Financial Advisors.
  • Serve as AML Compliance Officer to ensure meeting of standards for money laundering laws such as the Bank Secrecy Act (BSA), the USA PATRIOT Act, OFAC requirements and Suspicious Activity Reporting (SAR) requirements.


  • FINRA Series 7 and 24 Licenses required, others preferred
  • Compliance experience with various B-D, RIA, and related Insurance products
  • BA or BS Four-Year Degree required, JD or MBA Preferred
  • Minimum 8-10 years in Securities Industry Compliance for a major firm.
  • Strong ability to communicate effectively with minimal oversight
  • Strong judgment and time management
  • Ability to work in highly pressured, time sensitive environment and make quick decisions

Please email resumes to James DeFranco – James@ComplianceSearch.com

or call direct at 212-997-3163 for more information.

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