Managing Director, Chief Compliance Officer
COMPANY OVERVIEW:
Our client has pioneered the delivery of innovative strategies to the retail market and has become an industry leader in underwriting, marketing, and distributing structured products, ETFs, alternative investments, and fixed income securities. They provide issuers with differentiated distribution capabilities while supporting investors and advisors with unique solutions, all delivered through personalized service enhanced by technology that integrates market intelligence and streamlines workflows.
They represent more than 500 issuing entities, distribute to more than 1,500 partners, and have distributed more than $850 billion of new issue securities. The firm has six trading desks and more than 190 employees with offices in Florida, Illinois, New York, and Arkansas.
WHY JOIN:
This is a unique opportunity to serve as the senior compliance leader for a growing and innovative fixed income and market-linked securities firm. The Managing Director, Chief Compliance Officer will play a critical role in shaping the firm’s compliance strategy, partnering with executive leadership, influencing key business decisions, strengthening regulatory relationships, and supporting the continued growth and evolution of the organization.
The company offers a collaborative, entrepreneurial environment where talented professionals have the opportunity to make meaningful contributions and directly impact the firm’s future success.
POSITION OVERVIEW:
We are seeking an accomplished and strategic Chief Compliance Officer (“CCO”) to lead on a firm-wide basis and administer the firm’s comprehensive broker-dealer compliance program. Reporting to the General Counsel, the CCO will serve as the firm’s designated Chief Compliance Officer and will be responsible for developing, implementing, and maintaining a risk-based compliance framework designed to ensure adherence with applicable SEC, FINRA, MSRB, and other regulatory requirements.
The Chief Compliance Officer serves as a senior member of the firm’s leadership team and a trusted advisor to executive management. The CCO partners closely with the General Counsel, Chief Executive Officer, and other senior business leaders to help shape the firm’s risk management, governance, and regulatory strategy while supporting continued business growth and innovation.
The successful candidate will possess deep expertise in broker-dealer regulation, fixed income capital markets, underwriting activities, institutional sales practices, municipal securities, structured products, and market-linked investments. SEC-registered investment advisor compliance experience is a plus. This individual must be capable of operating both strategically and tactically, providing executive leadership while remaining actively engaged in the execution, oversight, and enhancement of the firm’s compliance program.
RESPONSIBILITIES:
Compliance Leadership & Governance
- Serve as the firm’s designated Chief Compliance Officer and primary compliance contact for FINRA, the SEC, MSRB, and other regulatory agencies.
- Lead the development, implementation, administration, and ongoing enhancement of the firm’s broker-dealer compliance program.
- Establish and maintain a risk-based compliance framework designed to identify, assess, monitor, and mitigate regulatory and compliance risks across the organization.
- Develop, maintain, and periodically review the firm’s Written Supervisory Procedures (WSPs), compliance policies, supervisory controls, and governance framework to ensure alignment with regulatory requirements and business practices.
- Lead the firm’s annual Rule 3130 Compliance Program Review and CEO Certification process, including oversight of supervisory control testing, compliance assessments, risk evaluations, remediation efforts, and executive reporting.
- Provide independent compliance guidance and, when appropriate, escalate significant compliance, regulatory, supervisory, or reputational risks to executive management and applicable governance bodies.
- Foster a culture of compliance, accountability, transparency, and ethical conduct throughout the organization.
Regulatory Oversight & Risk Management
- Lead all regulatory examinations, inquiries, investigations, audits, and enforcement matters, including preparation, coordination of responses, remediation efforts, and ongoing regulatory relationship management.
- Serve as the firm’s primary liaison with regulatory agencies and maintain productive working relationships with regulators and industry organizations.
- Monitor and interpret regulatory developments impacting broker-dealers, fixed income markets, underwriting activities, municipal securities, institutional sales practices, structured products, and market-linked investments.
- Assess emerging regulatory risks and implement appropriate policy, procedural, supervisory, and training enhancements.
- Oversee the firm’s annual compliance risk assessment and risk-based testing program.
- Lead compliance surveillance, monitoring, and testing initiatives designed to identify, assess, and mitigate regulatory and operational risks.
Business Partnership & Strategic Advisory
- Serve as the firm’s compliance subject matter expert for fixed income securities, municipal securities, underwriting activities, institutional sales practices, structured products, market-linked investments, and related regulatory requirements.
- Partner with executive leadership and business stakeholders to support strategic initiatives, new business opportunities, product development efforts, acquisitions, technology enhancements, and evolving distribution strategies.
- Ensure compliance considerations are appropriately incorporated into new products, business lines, distribution channels, technology platforms, and business processes.
- Provide practical, risk-based compliance guidance that supports business objectives while maintaining regulatory compliance.
- Collaborate closely with Legal, Operations, Finance, Technology, Capital Markets, Product Management, Trading, and Sales leadership to align compliance strategy with organizational objectives.
Supervisory Programs & Compliance Operations
- Oversee compliance programs supporting the origination, underwriting, distribution, and secondary market trading of fixed income securities, municipal securities, structured products, and market-linked investments.
- Administer and oversee the firm’s supervisory programs, including employee trading, outside business activities, private securities transactions, gifts and entertainment, political contributions, conflicts of interest, information barriers, employee disclosures, and related regulatory reporting obligations.
- Oversee branch office inspection, supervisory review, and compliance testing programs.
- Oversee the review and approval of marketing, advertising, educational, and client-facing materials to ensure compliance with SEC, FINRA, MSRB, and other applicable regulatory requirements.
- Oversee aspects of the firm’s Anti-Money Laundering (AML) program, including training, independent testing coordination, suspicious activity review, regulatory reporting, sanctions compliance, and related regulatory obligations.
- Ensure effective compliance controls are maintained across all broker-dealer activities and business functions.
Firm Education and Training
- Develop and deliver compliance education and training programs for employees, registered representatives, supervisors, and executive leadership.
- Promote proactive compliance awareness throughout the organization and serve as a trusted resource for regulatory guidance.
Leadership & Team Development
- Lead, mentor, and develop compliance personnel while promoting a culture of accountability, collaboration, continuous improvement, and professional growth.
- Build strong relationships across all levels of the organization and serve as a strategic partner to senior leadership.
- Demonstrate executive presence, sound judgment, and effective decision-making in complex and sensitive situations.
- Perform additional duties and strategic initiatives as assigned.
PREFERRED PROFILE:
- Minimum 10 years of progressive compliance experience within broker-dealer, fixed income, capital markets, underwriting, institutional securities, or related financial services businesses.
- Significant experience supporting FINRA-registered broker-dealers and interacting directly with regulatory agencies.
- Minimum 5 years of leadership experience managing compliance programs, regulatory initiatives, and/or compliance personnel.
- Active FINRA Series 7 and Series 24 registrations.
- Deep knowledge of FINRA, SEC, and MSRB rules and regulations applicable to broker-dealers.
- Demonstrated experience managing regulatory examinations, investigations, enforcement matters, remediation efforts, regulatory applications and regulatory relationships.
- Experience developing and maintaining Written Supervisory Procedures, supervisory controls, compliance monitoring programs, and enterprise compliance frameworks.
- Strong understanding of Anti-Money Laundering (AML) requirements and broker-dealer supervisory obligations.
- Experience supporting fixed income capital markets, debt underwriting, institutional sales practices, municipal securities activities, structured products, broker-dealer distribution platforms, and trading businesses.
Desired
- Prior experience serving as a Chief Compliance Officer, Deputy Chief Compliance Officer, or senior compliance leader within a regulated broker-dealer environment.
- Prior experience working for the SEC and/or FINRA.
- Working knowledge of the Investment Advisers Act of 1940 and experience supporting an SEC-registered investment adviser.
- Strong knowledge of MSRB regulations and municipal securities supervisory requirements.
- Advanced degree, Juris Doctor (JD), MBA, or other relevant professional designation.
Professional Attributes
- Strategic thinker with strong business judgment and commercial awareness.
- Demonstrated executive presence with the ability to influence decision-making and build credibility with regulators, executive leadership, and board-level stakeholders.
- Exceptional leadership, relationship-building, and influencing skills.
- Excellent analytical, problem-solving, and decision-making capabilities.
- Outstanding written and verbal communication skills with the ability to effectively engage regulators, executive leadership, governance committees, and employees at all levels.
- Proven ability to lead through change while balancing regulatory obligations, commercial objectives, and organizational growth initiatives.
- Ability to balance regulatory requirements with practical business considerations and business growth objectives.
- High degree of integrity, professionalism, discretion, and personal accountability.
- Strong organizational skills with the ability to manage multiple priorities and deadlines in a fast-paced environment.
- Proficiency with Microsoft Office applications and compliance technology platforms.
- Ability to travel periodically for regulatory matters, branch inspections, industry events, and business needs.
LOCATION: Hybrid in NYC or Chicago or Del Ray Beach, FL
Job ID# 3664899
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