THE COMPANY Robert Half Financial Services are currently recruiting for a Chief Compliance Officer role within an investment banking firm based in midtown Manhattan, New York. Our client requires at least 5+ years of financial services compliance specifically, retail branch compliance and this new full-time must be experienced with FINRA and SEC regulations. These three elements are requisite for this role. Responsibilities: Implement and monitor current industry regulatory practices/ standards, relating to retail investment banking. Conduct regulatory audits (SEC, FINRA). Be a subject matter expert of retail/ investment banking and private placement offerings. Maintain and develop this firm s compliance and supervisory procedures. Apply and keep up to date with the firm s compliance policies and procedures Monitor all operations and be proactive in identifying new or emerging compliance issues. Advise management on existing and new regulations and be able to describe how they can potentially affect the firm and the firm s clients. Maintain regular compliance logs/ tasks. full-time and supervise compliance staff. Monitor the compliance infrastructure for multiple branch locations. Liaise with Regulators regarding regulatory requests. Adhoc projects. Requirements: Bachelor s Degree in Business, Finance or related field. 5+ years of working experience. Series 7, 24, 63, 79 is essential. 5+ years of experience as a deputy/ acting CCO experience or relevant experience working closely with a CCO within financial services. Investment banking/ retail branch experience is essential. Experience with FINRA and the SEC. Team player who is proactive with regulatory updates and holds an approachable management style. This Chief Compliance Officer role is located in midtown Manhattan so please only apply if you are able to travel to this location, have relevant experience for the role and are eligible to work in the United States. The salary is flexible dependent on experience, but the initial range is $200-$220k base plus discretionary bonus. If your profile matches the above criteria, please contact me on [Click Here to Email Your Resum ]**
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