Chief Compliance Officer
A global financial institution with a longstanding U.S. presence is seeking a seasoned Compliance leader to oversee its New York-based branch and affiliated broker‑dealer. The firm operates across commercial banking, markets, and securities activities, and maintains a strong commitment to regulatory expectations in both the U.S. and its head‑office jurisdiction.
This role will serve as the senior-most Compliance executive for the U.S. platform, responsible for shaping the compliance framework, advising executives on emerging regulatory risks, and ensuring robust oversight across banking and broker‑dealer operations. The ideal candidate brings deep expertise across financial regulations, strong leadership presence, and the ability to partner with regulators and senior management.
Responsibilities
- Lead the U.S. compliance program for the branch and broker‑dealer
- Oversee regulatory change management, monitoring/testing, and policy governance
- Serve as primary liaison with federal and state regulators and SROs
- Advise business heads on compliance matters related to banking, markets, and securities
- Manage compliance staff and ensure consistent standards across entities
- Provide guidance on supervisory controls, surveillance, and internal investigations
Requirements
- 12+ years of compliance experience within banking, broker‑dealer, or combined environments
- Strong understanding of U.S. banking regulations, SEC/FINRA rules, and BSA/AML expectations
- Prior leadership of a compliance program or significant deputy‑level experience
- Proven experience engaging with regulators
- Ability to operate in a cross‑border environment and manage multiple stakeholders
- Exceptional communication, judgment, and management skills
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