A full-service investment bank, brokerage and advisory firm is looking to add on a Deputy Chief Compliance Officer to their growing compliance team. The Deputy CCO will be the right hand to the firm's current Chief Compliance Officer, working to establish standards and implement procedures to sustain an effective compliance program. This is a great opportunity to step into a senior role and gain valuable experience working directly with the CCO. This role can sit in NYC or Chicago on a hybrid working schedule.
Responsibilities :
-Prepare/maintain regulatory filings such as Form ADV & PF
-General Compliance Matters such as contributions, gifts and new accounts
-Advising other business teams on any compliance related issues
-Enhancing culture of compliance through engaging with external stakeholders and other firm initiatives
Requirements :
-5+ years' of compliance experience
-Knowledge of SEC & FINRA rules and regulations
-Strong understanding of Investment Advisers/Company Act of 1940
-Strong leadership experience desired
-Any FINRA licensing a huge plus!