Position: Compliance Director/ CCO Assistant
Location: Rochester, NY
Compensation: $140,000 - $160,000
Environment: Financial Services/ Broker-Dealer
Start: ASAP
Required: FINRA Series 4, 24,53
Note: We’re looking for a driven, detail-oriented Compliance Director to join our Clients growing team in Rochester. This is a key leadership role that not only oversees the firm’s regulatory compliance operations but also partners closely with the CCO in shaping a robust, forward-thinking compliance framework.
If you’re looking to step into a leadership role with a clear path toward becoming a Chief Compliance Officer, this is the opportunity for you.
What You’ll Do
As Compliance Director, you’ll take charge of ensuring the firm meets all FINRA, SEC, and state-level compliance obligations. You’ll manage internal compliance operations, provide strategic oversight, and help build a culture of integrity across the organization.
Key Responsibilities:
- Lead the firm’s compliance program, managing annual reviews and long-term strategic planning.
- Oversee day-to-day compliance operations, including:
- Employee trade monitoring
- Advertising and communications reviews
- Regulatory filings (ADV, U4/U5, CRS, etc.)
- Act as the point of contact for FINRA and SEC audits, exams, and inquiries.
- Ensure timely and accurate submission of reports, including CATS and CAIS obligations.
- Manage state registration requirements for advisors and associated individuals.
- Lead and mentor a team of compliance and/or operations professionals.
- Conduct internal risk assessments, identify gaps, and drive corrective action plans.
- Stay current on regulatory developments and help adapt firm policies accordingly.
- Design and deliver training programs to advisors and internal staff.
- Maintain detailed documentation to support the firm’s compliance and regulatory efforts.
- Support strategic initiatives and special projects as needed.
What We’re Looking For : Required Qualifications:
- Bachelor’s degree (required)
- At least 5 years’ experience in financial services, compliance, or another highly regulated industry
- Active FINRA Series 24, 4, and 53 licenses
- Strong understanding of regulatory requirements for both Broker Dealers and RIAs
- High level of integrity and professional ethics
- Excellent analytical, investigative, and problem-solving skills
- Exceptional written and verbal communication abilities
- Proven leadership and ability to collaborate cross-functionally with stakeholders
Why Join Us?
This is more than a job — it’s a career path. As a trusted advisor to the CCO, you’ll play a central role in shaping the future of our firm’s compliance culture. We offer a supportive environment, opportunities for advancement, and the tools to grow into a Chief Compliance Officer role.
If you’re ready to take the next step in your compliance career — and be part of a mission-driven team that values precision, transparency, and innovation — we want to hear from you.
PLEASE CONTACT THE HIRING RECRUITER
Hiring Recruiter: Mike Jude mike@toughtechsolutions.com