We're Hiring! Compliance

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 Senior Compliance Officer /CCO

Tough Tech Solutions is conducting a confidential search for a Senior Compliance Officer / Deputy Chief Compliance Officer for a newly established U.S. broker-dealer.

This is a senior compliance leadership role with a defined path toward becoming the firm’s Chief Compliance Officer. The right candidate will work closely with the Acting CCO and senior leadership while taking on increasing responsibility for the firm’s day-to-day compliance program.

The role is based in New York City and will be on-site/hybrid.

Position Details

Location: New York City

Work Arrangement: On-Site / Hybrid

Compensation: $180,000 to $200,000 base salary, plus bonus and benefits

Target Start Date: October 1st

Interview Timeline: August 24th through September 15th

Search Status: Confidential

About the Role

The Senior Compliance Officer / Deputy CCO will help manage, review, and improve the firm’s compliance program. This includes policies and procedures, supervisory controls, regulatory filings, internal reviews, AML, KYC, surveillance, books and records, customer protection, and regulatory exams.

This person will work closely with Compliance, Operations, Finance, Risk, Product, Technology, outside consultants, legal counsel, auditors, and regulatory accounting partners.

Because this is a self-clearing broker-dealer, the candidate should understand the added responsibility that comes with carrying customer accounts, customer funds, securities, clearing, settlements, reconciliations, and customer protection requirements. 

What We Are Looking For

We are looking for a hands-on senior compliance professional with approximately 8 to 12 or more years of broker-dealer compliance experience.

The ideal candidate has worked inside a FINRA-regulated broker-dealer and has held a senior role such as Chief Compliance Officer, Deputy CCO, Senior Compliance Officer, Compliance Director, or a similar compliance leadership position.

Experience with a self-clearing, carrying, custody, clearing, or operationally complex broker-dealer is strongly preferred.

This role is best suited for someone who is practical, detail-oriented, confident with regulators, and comfortable working in a growing firm where processes, systems, and controls are still being built and improved.

Key Areas of Focus

Written Supervisory Procedures

Compliance policies and procedures

FINRA and SEC broker-dealer rules

AML, KYC, CIP, sanctions, and suspicious activity monitoring

Electronic communications review

Supervisory controls

Customer account and money movement controls

Books and records

Regulatory exams and inquiries

SEC Rule 15c3-3 Customer Protection

SEC Rule 15c3-1 Net Capital concepts

Operational and technology-related compliance controls

Licenses and Registrations

Series 24 is strongly preferred.

Series 7 is strongly preferred.

SIE and applicable state registrations, including Series 63 and/or Series 66, may be relevant.

Series 14 is highly relevant.

Series 99 or Series 27 may also be useful depending on the candidate’s background.

The Opportunity

This is a strong opportunity for a senior compliance professional who wants to step into a meaningful leadership role with a growing U.S. broker-dealer.

The person hired will help shape the firm’s compliance structure, strengthen its regulatory framework, and prepare for a future transition into the Chief Compliance Officer role.

Client details will be shared with qualified candidates.

Interested candidates may contact Tough Tech Solutions directly for a confidential discussion.