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DATE ADDED: Mon 15/10/2018

Chief Compliance Officer- Midsized Investment Bank

New York, USA


Job Description



We are searching for a Chief Compliance Officer on behalf of a New York City-based, mid-sized investment bank.  The bank offers wealth management, retail/institutional brokerage, securities underwriting, research, institutional sales and trading. The firm specializes in mid-market and emerging growth companies.

The Chief Compliance Officer will be responsible for a vast of important responsibilities including the following:

  • Overseeing the compliance program for the company to ensure compliance with all applicable laws, regulatory requirements, policies and procedures.
  • Providing reasonable assurance to senior management and the executives that there are effective and efficient policies and procedures in place, well understood and respected by all employees, and that the company is complying with all relevant regulatory requirements.
  • Managing the daily Compliance function.
  • Oversee a team of up to one dozen Compliance professionals.
  • Set policies and procedures.
  • Interface with regulators, such as FINRA and the SEC when required.
  • Interact with the firm’s executive management team and business unit heads.
  • Developing the annual compliance work plan.
  • Managing and monitoring the implementation of the compliance program.
  • Providing strategic direction to the management team on compliance.

It would be ideal for a candidate to have about 10-plus years of experience in the following areas:

  • Retail and institutional brokerage.
  • Institutional sales and trading activities.
  • Investment banking.
  • Wealth management.
  • Research.
  • Securities underwriting, such as IPOs, M&A, etc.
  • Experience working at a similar mid-sized investment bank.
  • Prior work at a regulatory agency.
  • Compliance work at a larger bank and now seeking to have a higher profile at a smaller firm.
  • This is a perfect job for a brokerage Compliance executive who seek to become a CCO of an established and successful firm. If you desire a ‘seat at the table’ that will enable you to partner with senior executives, make a real difference and have a meaningful important role, then this is the right job for you!


Please feel free to email resumes to Jack Kelly at #removed#

Company Description
Here is what we are looking for:

An asset management firm is seeking a Senior Compliance Risk Asset Management professional who will be responsible for ensuring that mutual funds and institutional accounts comply with all regulatory restrictions, and are managed in conformity with the stated investment objectives, policies and investment restrictions.

What you will really do all day:

Portfolio Investment Guideline Monitoring

Assists in reviewing and interpreting new investment mandates, creation of manual monitoring templates when needed, responding to client issues, and provide support to the institutional business team.
Participate in developing investment portfolio compliance monitoring policies and procedures. Engage in pre-trade alert/warning resolution process to ensure timely resolution of compliance issues.
Problem solves and participates in the resolution of compliance issues/breaches.
Monitors maintenance and update of compliance records and files.
Engage with Investment Managers to resolve issues.

Role: Chief Compliance Officer- Midsized Investment Bank
Job Type:
Location: New York,

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