Chief Compliance Officer
Core
Establish, implement, and maintain policies, procedures, and internal controls to achieve compliance with securities laws and regulations for an investment bank.
Role type
Chief Compliance Officer (C-suite)
Builds
Compliance framework, written supervisory procedures (WSPs), regulatory reporting, and training programs.
Domain
Financial Services / Investment Banking / Regulatory Compliance
Required skills
SEC/FINRA/MSRB regulatory knowledge, risk assessment, internal controls design, examination remediation, advertising/communications review, supervisory control testing, leadership, stakeholder management
Preferred skills
Series 4 and 53 licenses, deep institutional sales/equity research compliance experience
Technologies
FINRA Gateway, Microsoft Office
Responsibilities
Develop and maintain robust compliance programs; identify and mitigate compliance risks; perform periodic risk assessments; partner with business units to remediate findings; serve as primary contact for regulators (SEC, FINRA, MSRB); provide advisory support on product and sales practices; establish compliance standards and monitor adherence.
Seniority
Executive (C-Level)