Website axerecruiting Axe Recruiting
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Job Type: Full-Time | Hybrid (3 Days In-Office, 2 Days Remote)
Industry: Financial Services – Broker-Dealer
Client: Confidential (Self-Clearing Proprietary Trading Firm)
About the Opportunity
A dynamic and self-clearing broker-dealer—backed by a strong internal trading desk and proprietary systems—has re-engaged Axe Recruiting to lead the search for a Deputy Chief Compliance Officer. This role is critical in scaling and future-proofing the firm’s compliance infrastructure while maintaining alignment with FINRA, SEC, and state regulatory frameworks.
The Deputy CCO will work closely with executive leadership, legal, operations, and trading teams to reinforce institutional compliance, mitigate risk, and anticipate regulatory changes. The right candidate will not only respond to regulatory requirements but help architect a more agile, intelligent compliance program that evolves with the market.
This is a highly strategic hybrid position located in New York City.
Key Responsibilities
Oversee and continually improve the firm’s broker-dealer compliance program using current regulations, business acumen, and risk management frameworks.
Maintain and test internal compliance policies and procedures, ensuring they remain responsive to ongoing regulatory changes.
Serve as a primary point of contact during regulatory audits, examinations, and reviews.
Conduct annual broker-dealer compliance reviews and ensure timely remediation of any findings.
Monitor employee communications in accordance with internal e-surveillance policies.
Partner with Operations and Trading teams to maintain consistent regulatory alignment across front, middle, and back-office functions.
Track and interpret new directives and regulatory updates from FINRA, the SEC, and other federal/state agencies.
Oversee risk-related initiatives and assist with internal investigations, issue escalation, and policy enforcement.
Coordinate with legal counsel and regulators to ensure audit readiness and appropriate disclosures.
Requirements
Bachelor’s degree in Law, Finance, Business, or related discipline.
Minimum of 5 years’ experience in a compliance leadership role within a broker-dealer or similar regulated entity.
Series 7 and Series 24 licenses are required.
Strong understanding of broker-dealer financial responsibility rules and compliance architecture.
Familiarity with Trillium trade compliance software preferred.
Background in operations or finance within a broker-dealer is a strong asset.
Sharp analytical thinking, high attention to detail, and excellent communication skills.
Why Join This Role
This opportunity places you at the core of a high-performance, high-integrity trading environment. The Deputy Chief Compliance Officer role is central to the firm’s long-term growth, and you’ll have the autonomy and authority to make a measurable impact across the organization.
Apply Today
Axe Recruiting is exclusively managing the search. For confidential consideration:
📧 [email protected]
🌐 www.axerecruiting.com
📖 Learn more about the regulatory framework at:
SEC Division of Trading and Markets – Compliance Resources
To apply for this job email your details to hiring@axerecruiting.com