We're Hiring!

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 Position: Compliance Director/ CCO Assistant 

Location: NYC 

Compensation: $150,000 - $175,000  plus (possibly more)

Environment: Financial Services/ Broker-Dealer 

Start : Ongoing vacancies please apply ASAP - Hybrid / onsite 3 days per week NYC Financial District

Required: FINRA Series 4, 24, 53

Note: This is a full-time position that will grow into a CCO role eventually 

We are seeking an experienced and detail-oriented Compliance Director to lead our clients’ regulatory and internal compliance operations, with a particular focus on broker-dealer compliance. This individual will play a pivotal role in ensuring the firm remains aligned with FINRA, SEC, and other applicable regulatory requirements. The ideal candidate will bring a strong understanding of the financial services landscape, excellent analytical skills, and the ability to manage a fast-paced, highly regulated environment

Key Responsibilities: 

Regulatory Oversight & Communication 

• Act as primary liaison with clearing firms, addressing regulatory and operational requests promptly and accurately. 
• Ensure timely and accurate compliance with CATS (Consolidated Audit Trail) and CAIS (Customer and Account Information System) reporting obligations. 
• Maintain ongoing compliance with Regulation M, particularly in relation to market-making and distribution activities. 

Supervision & Monitoring 

• Conduct daily supervision of registered representatives, ensuring adherence to internal policies and external regulations. 
• Oversee the review and approval of new accounts, including suitability assessments and documentation checks. 
• Supervise trading activity, particularly for the market-making desk, including analysis of exception reports for anomalies. 

Anti-Money Laundering (AML) & Surveillance 

• Perform thorough AML reviews, escalating any suspicious activity and filing Suspicious Activity Reports (SARs) as required. 
• Lead email surveillance efforts to detect and investigate potential compliance issues. 

Policy Management & Reporting 

• Coordinate and execute the firm’s annual compliance review and employee attestation process. 
• Monitor and maintain state registration requirements for representatives and associated people. 
• Oversee the review and reporting of Outside Business Activities (OBAs), U4 amendments, and outside brokerage account statements. 
• Manage and maintain Disclosure Reporting Pages (DRPs) to ensure accuracy and completeness. 

Qualifications: 

• Deep knowledge of FINRA, SEC, and other regulatory body requirements. 
• Proven track record in broker-dealer compliance, including direct experience with AML, trade surveillance, and account supervision. 
• Strong analytical and investigative skills. 
• Excellent written and verbal communication. 
• Ability to operate effectively in a dynamic, fast-paced financial services environment. 

Hiring Recruiter: mike@toughtechsolutions.com