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Deputy Chief Compliance Officer

Jersey City, NJ, USA | Leading Financial Services Company

  • Industry:
    Financial Services
  • Position Type:
    Full-Time
  • Functions:
    General Management
    Legal / Compliance
  • Experience:
    10-12 years
Job Description:
75 people have viewed this job

We are looking for an Investment Advisory Deputy Chief Compliance Officer to join our team and be part of something great.We have an outstanding career opportunity for a driven, successful leader with at least 10 years of increasing management responsibility in the securities industry, both broker-dealer and investment advisory.The ideal candidate will spend their days managing the RIA Compliance Program

Keys:Investment Advisory, Compliance, RIA, Risk

Responsibilities: 

Manage team of RIA Compliance Analysts by providing leadership and support

Preparing for and responding to regulatory inquiries, examinations, internal audits and other reviews

Deliver RIA compliance education to advisors and internal stakeholders

Conduct vendor evaluations and due diligence

Represent RIA Compliance Department in cross functional firm initiatives

Identify and develop RIA compliance education opportunities

All other duties as assigned


Education Requirements



Bachelor's degree from a four-year college or university

Basic Requirements: 

Expertise in Investment Adviser’s Act of 1940 and general knowledgeable in other financial regulations;

At least ten years of relevant work experience with strong knowledge of the Investment Advisers Act of 1940 and prior experience as a Deputy CCO or litigation counsel;

Demonstrated experience with Rule 206(4)7 testing, conducting risk assessments, and drafting policies and procedures;

Ability to manage and effectively influence while providing advice and guidance;

Advanced Skill to independently identify and analyze compliance issues;

Strong Ability to build consensus among managers and employees across departments;

Advanced knowledge of RIA and industry regulation;

Proven management and human relations skills;

Proficiency with Windows programs: EXCEL, OUTLOOK, WORD;

Excellent oral and written communication skills;

Strong critical thinking skills and be an ardent problem solver;

Series 65 or 66.

Preferred Requirements: 

Advanced Degree or Certifications

Juris Doctor degree preferred

Series 7 and 24


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