Deputy Chief Compliance Officer

Job description

The Deputy Chief Compliance Officer, working under the direction of the Chief Compliance Officer, supports the design, implementation, and ongoing oversight of the firm’s compliance program within a wholesale broker dealer model. This role partners closely with senior leadership to promote a strong culture of compliance, ensure adherence to applicable regulatory requirements, enhance supervisory processes across the organization, and support business activities conducted with registered financial professionals and institutional intermediaries. The Deputy CCO plays a key role in advising the business on compliance considerations specific to a wholesale environment, including maintaining boundaries between wholesale and retail activities, and helps ensure the firm’s supervisory framework remains effective, risk-focused, and aligned with regulatory expectations. This individual is a strategic partner to the business – someone who can influence change, navigate complexity with sound judgment, and approach challenges with a solutions-oriented mindset. The ideal candidate brings a steady presence, remains calm under pressure, and is able to guide the firm through evolving regulatory and...