Our client, a Highly regarded boutique Investment Bank, seeks a Chief Compliance Officer/ Chief Financial Officer. The investment bank is involved in very high-level, global Investment Banking activities. They are extremely well respected in their space and growing fast.

This is an excellent opportunity for an investment banking professional with 10+ years of hands on compliance, regulatory, finance and accounting experience. This is a fast-paced, entrepreneurial environment with sleeves rolled up and all hands on deck. The CCO/ CFO will be involved with a wide array of investment banking activities including mergers & acquisitions, corporate finance, capital raising, restructurings and reorganizations, securities underwriting at the highest level.

The Chief Compliance Officer will lead the enhancement, execution, and maintenance of the firm’s compliance program including oversight of outside business activities, accounts away, email monitoring, fairness opinions, licensing & registration in various jurisdictions, management of conflicts, insider trading and the handling of MNPI risk mitigation. The CCO also oversees cyber security issues, reviews engagement letters & NDAs, and records management.

As CFO, this position will act as strategic partner in assessing profitability thesis of M&A activities and evaluating risk. Responsibilities include but are not limited to the management of quarterly FOCUS reports, regulatory reporting, managing firm’s annual audits and creating & delivering reports to the partners. General accounting responsibilities include managing and balancing the books, invoicing clients, bill payments, payroll management, journal entries, month end close and oversight of MD’s personal investments.


  • 10+ years Investment Banking compliance & finance leadership experience
  • Must have a deep understanding of regulatory and compliance issues in the M&A advisory space across multiple industries
  • Must have an understanding of financial & operations review & Capital Rules related to the securities industry
  • Must have FINRA Series 7, 24,27, & 79 licenses.

Interested or know someone that might be? Send resumes to Heather Johnson at Heather@compliancesearch.com

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