Deputy Compliance Officer – Broker/Dealer And Registered Investment Advisor

Full Time



Essential Duties and Responsibilities

Support compliance efforts related to supervisory oversight, training, e-mail surveillance, branch office exams, FINRA licensing and registrations, anti-money laundering supervision, and advertising
Work with senior management, Legal, Compliance, HR, Marketing, registered representatives, and other key constituencies to train, promote and enhance a culture that encourages ethical conduct and a commitment to compliance with applicable laws and regulations
Monitor the effectiveness of established compliance processes and controls across all business lines and recommend and implement enhancements; work in conjunction with department managers to update the
Firm’s Written Supervisory Procedures (WSPs) based on new rules and regulations and/or process enhancements and communicate such changes simply and efficiently to affected business units in order to minimize bureaucracy and process burden

Provide compliance support for the Municipal Securities Division, with a focus on the Public Finance underwriting business
Provide advice on MSRB, FINRA, and SEC rules, regulations and interpretive guidance, as well as applicable internal policies and procedures
Review and approve meals and entertainment requests, political contribution requests, sponsorship requests, bond ballot contributions, and quarterly MSRB G-37 filing
Demonstrate ability to effectively review and analyze complex situations and apply judgment to resolve issues in a timely manner with minimal supervision
Proficient in time management and able to initiate and manage projects
Mange KYC process on new customers, enforce accurate review of OFAC searches
Assist with managing regulatory exams, investigations and inquiries conducted by FINRA, SEC and state regulators coordinating with regulators, auditors, compliance personnel and each business unit management
Continually assess the inherent risk of business units as well as the effectiveness of mitigating controls to minimize the residual risk of reputational damage, regulatory consequences and other operational risk
Assist with the supervision of sales related activities
Integrate industry benchmarking and best practices through ongoing research, education, and industry affiliations
Develop and conduct compliance training ensuring courses are compatible with regulations
For the RIA, assist the Chief Compliance Officer to ensure compliance with all SEC obligations, including but not limited to annual compliance reviews, advertising material reviews, third-party service provider oversight, maintenance and implementation of compliance policies and procedures, website reviews, updates to SEC and state registration / filings (including Form ADV), and interacting with the business units as needed.


Bachelor’s Degree or equivalent work experience
Series 7, 24, 14, 52 or 53 required; other regulatory licenses desired
At least 7 years working for a broker-dealer, with at least 5 years of compliance experience
Experience with fixed income products (notably municipal, corporate, government, and agency bonds) and equity securities required to determine appropriate control points where one might mediate to manage compliance and effective internal controls
Robust knowledge of and experience with FINRA, MSRB and SEC rules
Experience coordinating broker-dealer regulatory exams and responses
Bonus Points if you:

Have either been a CCO or the number two compliance professional for a SEC registered and FINRA member broker-dealer
Are familiar with operations of broker-dealers subject to 15c3-3
Possess a genuine love for compliance


Dental insurance
Flexible spending account
Health insurance
Paid time off
Vision insurance

Work Remotely: Yes, temporarily due to COVID-19

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