Chief Compliance Officer- Broker Dealer

  • Global Employment Solutions
  • $163,905.00 - 163,905.00 / Year *
  • 201 E 45th St, New York, NY 10017
  • Full-Time

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The CCO Role exists to ensure the bank remains compliant with all US Regulatory requirements. Additionally, the CCO is tasked with implementing and maintaining a compliance culture within the Firm, where Firm policies are understood and adhered to, and instances of non-conformity are addressed/escalated in a timely manner.

Core Responsibilities:

  • Provide comprehensive compliance support and advisory coverage to Markets, Syndicate, and Corporate Finance groups within the NY Branch
  • Communicate key regulatory change to impacted areas
  • Develop and implement written supervisory procedures to ensure compliance with US regulatory requirements
  • Anti-Money Laundering lead with full responsibility for monitoring compliance with US AML obligations
  • Ensure client on-boarding process meets expectations around customer identification program? and KYC
  • Successful completion and follow-up of all regulatory examinations, internal/external audits, regulatory inquiries, and compliance reviews
  • Monitor and document TRACE reporting obligations
  • Regulatory approval for new proposed business activities/products
  • Vendor due diligence
  • Review of all personal account trading performed by NY Branch employees
  • Annual Compliance training and testing
  • Email surveillance, advertising and sales literature review, personal account dealing


????????? We make it simple for our customers and bankers

????????? Enable a strong foundation for growth

????????? Make sense of a changing world

????????? Leadership and talent factory for the bank

????????? Partner with business to enable performance

Deliverables defining success:

????????? Improved response times and process improvements

????????? adherence to risk appetite and strengthened risk and control environment

????????? Effective oversight of AONP change risk & transformation in C&IB offshore

????????? Adherence to all regulatory commitments and controls

  • Increased employee engagement


  • Post graduate qualifications in business, finance, accounting, economics and/or science.
  • Membership of professional/industry bodies will be favorably considered
  • U.S. securities licenses and registrations required: minimum Series 7; 24; 63.


  • U.S. Broker Dealer Compliance experience [10 years +]
  • Front Line Business experience ? leading a customer facing business unit or being responsible for profit & loss
  • Three Lines of Defense' exposure in either 1st or 2nd Line role
  • People Leader experience
  • May have had experience working with FINRA
  • Deep understanding of risks associated with financial services (eg Operational Risk, Compliance, Reputational Risk, Process Risk, Conduct Risk, Product Design and Implementation Risk, Credit Risk).
  • Viewed as a peer with front-office personnel ? strong track record of establishing credibility and building trust at all levels. Sought out as a thought leader
  • Proven experience of managing risk, risk profiles and the alignment of strategy based on Risk.
  • Experience with maintaining a proactive and productive relationship with external regulators.
  • Demonstrated ability to make risk based decisions (value creation through managing risk).
  • Strong business acumen ? business and financial judgement,? problem solving skills and ability to distill large volumes of data/information
  • Outstanding communication, organisational and interpersonal skills - strong presence with proven ability to interact, challenge and influence effectively at Board/Committee, and all levels within the organisation.
  • Confident ? prepared to take a position and hold it even when others have differing views.
  • Strong conceptual and strategic thinker with the ability and vision to see the big picture and dis aggregate business plans into component risks.
  • Resilient ? remains calm under constant pressure

Associated topics: bond, capital, fund, ira, market, nasdaq, risk, security, sell, s p

* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.