Chief Compliance Officer (CCO) Greater New York City, NY Area

The Company is seeking a Chief Compliance Officer to establish, implement, and maintain policies, procedures, and internal controls that support compliance with applicable securities laws, regulations, and firm standards. The role owns the review and maintenance of written supervisory procedures and related documentation, and provides compliance communications, training, and advisory support on products, sales practices, advertising, and conduct. The CCO will partner with business leaders and control functions to manage compliance risks, conduct risk assessments, address audit and examination findings, and strengthen oversight across business lines. The position also serves as a primary contact for regulators, supports inquiries and examinations, and reports to leadership on compliance matters. Candidates should have at least 15 years of financial industry experience, including compliance, risk management, legal, or leadership responsibilities, and a bachelor’s degree or equivalent education and training; a high school diploma or equivalent is the minimum requirement. Strong compliance leadership experience in investment banking, institutional sales, or equity research is required, along with knowledge of trading operations, supervisory controls, recordkeeping, and regulatory requirements. Applicants should have a record of leading regulatory examinations and remediation, experience overseeing advertising and communications reviews, and familiarity with supervisory testing and FINRA Gateway. Excellent communication, interpersonal, organizational, and risk-analysis skills are essential, as are FINRA Series 7 and 24 licenses; Series 4 and 53 are preferred.

Hiring Company

Advisor Group