Deputy Chief Compliance Officer
$190,000–$215,000 year
Remote · New York City, New York, United States or US
New York City, New York, United States or USRemoteFull Time$190,000–$215,000 yearSenior LevelBachelors DegreeUnknown
Type
Full Time
Level
Senior Level
Education
Bachelors Degree
Company size
Unknown
Job Summary
The Deputy Chief Compliance Officer will support the Chief Compliance Officer in overseeing the firm’s Compliance Program, with a focus on managing complex compliance workflows and ensuring adherence to regulatory requirements.
Required Qualifications
- 7+ years of broker-dealer or investment advisory compliance experience
- Prior experience responding to regulatory exams or leading compliance projects
- Must hold FINRA Series 7, 24, and 14 (or equivalent principal registrations)
- Series 63 or 66 also required
- Deep understanding of FINRA, SEC, and state regulatory frameworks
- High attention to detail, strong documentation habits, and superior organizational skills
- Ability to manage multiple deadlines and complex compliance issues
- Strong analytical and problem-solving abilities
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