Deputy Chief Compliance Officer

Our client, a leading self-clearing broker-dealer, is actively seeking a Deputy Chief Compliance Officer to strengthen its regulatory and compliance oversight.

This role is ideal for a seasoned compliance professional with deep experience in broker-dealer environments and a strong understanding of FINRA, SEC, and state regulations. The ideal candidate will possess strong analytical, communication, and leadership skills and will play a critical role in managing compliance functions and mitigating regulatory risk.

What YOU get to DO at this growing company:

• Lead and enhance the firm’s Compliance Program by aligning with applicable regulations and risk management practices.

• Execute broker-dealer compliance functions, including daily operations and trading oversight.

• Monitor and adapt to regulatory changes, updating policies and procedures accordingly.

• Conduct the annual compliance review for the broker-dealer entity.

• Assist with regulatory exams and annual compliance examinations.

• Monitor internal employee communications via the firm’s e-surveillance system.

• Work closely with Operations and Trading teams to ensure adherence to regulatory requirements.

• Interpret and implement directives impacting the compliance framework.

• Coordinate with federal and state regulators to ensure ongoing compliance readiness.

• Provide guidance on risk-related programs and respond to compliance inquiries across the organization.

What you NEED to SUCCEED in this challenging role:

• Bachelor's degree in Law, Finance, Business Management, or a related field.

• 5+ years of experience in a compliance leadership role within broker-dealer or financial services.

• Series 7 and Series 24 licenses are required.

• Demonstrated knowledge of broker-dealer financial responsibility rules.

• Experience using Trillium software for trade compliance monitoring.

• Strong background in broker-dealer operations or finance.

• Exceptional written and verbal communication skills.

• Analytical and strategic thinking capabilities with attention to regulatory detail.

What's in it for YOU?

• Competitive compensation package based on experience.

• Work with a respected broker-dealer in a high-impact compliance leadership role.

• Exposure to evolving regulatory frameworks and risk mitigation strategies.

• Opportunities to lead, improve, and modernize the compliance function.

• Collaborative work environment focused on regulatory integrity and operational excellence.

INDSJ