Chief Compliance Officer (CCO)
Location: New York, NY (Hybrid)
Industry: Full-Service Investment Banking
About the Firm
A rapidly growing full-service investment banking firm headquartered in New York is seeking a Chief Compliance Officer to lead and enhance its compliance framework. The firm provides a broad range of services including investment banking, brokerage, trading, and market-making, serving both institutional and corporate clients.
This is an opportunity to join a highly collaborative and entrepreneurial leadership team during an important growth phase, with the mandate to strengthen governance, align regulatory oversight with business strategy, and help drive the next stage of expansion.
Role Overview
The Chief Compliance Officer will oversee the firm’s compliance program, ensuring full adherence to SEC, FINRA, and other regulatory requirements. This individual will work directly with senior leadership to align compliance initiatives with business objectives while maintaining a strong culture of integrity, accountability, and proactive supervision.
The position is hybrid, based out of the firm’s New York City headquarters, and offers direct visibility to executive management.
Key Responsibilities
- Lead the firm’s overall compliance program across investment banking, trading, and operations.
- Serve as the firm’s primary liaison with regulators, auditors, and external counsel.
- Conduct internal reviews and risk assessments to identify and mitigate compliance risks.
- Develop and maintain policies, procedures, and training programs.
- Supervise reporting, recordkeeping, and surveillance functions related to trading and investment banking.
- Partner with business leaders to ensure compliance supports operational efficiency and strategic goals.
- Stay current on regulatory developments and guide leadership on their impact.
- Oversee a small, in-house compliance team supported by operations personnel.
Qualifications
- Strong background in regulatory compliance within investment banking, brokerage, or capital markets.
- Deep knowledge of SEC and FINRA rules, including 15c3-1, 15c3-3, AML/KYC, and Reg BI.
- Proven ability to design and manage compliance programs that support business growth.
- Excellent communication, leadership, and relationship-management skills.
- Bachelor’s degree required; JD, MBA, or relevant certifications preferred.
- Series 7, 24, 14, or 27 preferred.
Compensation & Benefits
- Competitive compensation package with performance-based incentives.
- Negotiable benefits and flexible work arrangements.
For confidential consideration, contact:
Jason Himmelstein
Director, Strategic Recruitment & Advisory | CRC-Oyster
E: jhimmelstein@compliance-risk.com
M: (646) 709-0332
