We're Hiring!

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 CHIEF COMPLIANCE OFFICER (CCO)

with Series 24 & Underwriting Experience.

Location: New York, NY (preferred) Hybrid/ Remote

Compensation: $200,000 – $250,000 base, plus performance-based incentives and deal-driven compensation

Type: FULLTIME / FRACTIONAL / CONTRACT to HIRE

(6 month contract to hire)

Required: Active Series 24 with Underwriting Experience a must.

Interview Times available: 9/3/2025 - 9/16/2025

Our client, a new U.S. investment banking and underwriting firm backed by a publicly traded Hong Kong company, is establishing its U.S. headquarters in New York. The firm is in the process of filing Form NMA with FINRA and will operate as an introducing broker focused on underwriting activities and private placements. With strong institutional support and deep connections across Hong Kong and the ASEAN region, the company anticipates handling 8+ IPO transactions in its first year, valued between $5–15 million each.

We are seeking an experienced Chief Compliance Officer (CCO) to oversee all aspects of regulatory compliance for the firm’s U.S. operations. As a registered principal, the CCO will develop and maintain compliance frameworks, policies, and procedures to ensure strict adherence to FINRA, SEC, and AML/KYC standards. This is a rare opportunity to help shape a new firm’s culture of compliance from the ground up.

• Serve as the firm’s Chief Compliance Officer and registered principal.
   
• Develop, implement, and maintain compliance policies, procedures, and supervisory systems in line with FINRA and SEC regulations.
   
• Ensure ongoing compliance with Form NMA requirements, minimum net capital rules, and underwriting obligations.
   
• Oversee KYC/AML programs, due diligence processes, and ongoing monitoring of client transactions.
   
• Advise senior management and staff on regulatory developments and best practices.
   
• Coordinate with regulators and external auditors to facilitate inspections and reviews.
   
• Foster a compliance-first culture while supporting the firm’s growth and deal-making activities.
   

• Active FINRA Series 24 license (required); additional compliance-related licenses a plus.
   
• Significant experience as a compliance leader in broker-dealer, underwriting, or investment banking settings.
   
• Deep knowledge of FINRA, SEC, AML/KYC, and underwriting compliance frameworks.
   
• Prior experience supporting IPOs or capital markets transactions strongly preferred.
   
• Demonstrated ability to design and implement compliance infrastructures in a new or growing firm.
   
• Strong organizational skills, attention to detail, and ability to balance risk management with business goals.

CONTACT: mike@toughtechsolutions.com