Trandon Associates, Inc. · 2 weeks ago
Deputy Chief Compliance Officer
New York, NY, US
Full-time
Onsite
Director/Executive
7+ years expTrandon Associates, Inc. is a Full Service Broker Dealer and Investment Banking firm seeking a Deputy Chief Compliance Officer to support the Chief Compliance Officer in overseeing the firm’s Compliance Program. The role involves supervising compliance operations, ensuring adherence to regulatory requirements, and managing compliance workflows across all business lines.
RecruitingSkill AssessmentStaffing Agency
Responsibilities
Assist the Chief Compliance Officer in the oversight, execution, and enhancement of the firm’s Compliance Program
Supervise daily compliance operations, including surveillance reviews, communication monitoring, trading reviews, and regulatory reporting
Review and approve marketing materials, communications with the public, correspondence, and investment-related content in accordance with FINRA Rule 2210 and firm standards
Oversee branch office supervision, including periodic branch reviews, advisor oversight, and escalation of identified deficiencies
Conduct and document internal compliance testing, thematic reviews, and risk assessments in line with the firm’s annual compliance plan
Assist with the preparation, review, and submission of regulatory filings such as Form ADV updates, Form CRS, 4530 filings, U4/U5 amendments, and other required submissions
Coordinate and participate in regulatory examinations, responses to inquiries, and preparation of documentation required by FINRA, SEC, and state regulators
Review and approve new account applications, outside business activities (OBAs), private securities transactions, heightened-supervision plans, and other supervisory items
Provide guidance and compliance interpretations to business units, senior management, and registered representatives
Support the implementation and maintenance of compliance systems, surveillance tools, and supervisory technologies
Assist with firm-wide training programs, including annual compliance meetings (ACMs), AML training, and targeted policy-specific education
Draft, update, and enforce compliance policies and written supervisory procedures (WSPs)
Mentor compliance analysts and associates, provide performance feedback, and support professional development
Represent the Compliance Department in management meetings and contribute to strategic planning and risk mitigation initiatives
Qualification
Required
7+ years of broker-dealer or investment advisory compliance experience, including supervisory responsibilities
Bachelor's degree in Finance, Accounting, Business Administration, or a related field
Must hold FINRA Series 7, 24, and 14 (or equivalent principal registrations)
Series 63 or 66 also required
Deep understanding of FINRA, SEC, and state regulatory frameworks
High attention to detail, strong documentation habits, and superior organizational skills
Ability to manage multiple deadlines, shifting priorities, and complex compliance issues
Strong analytical and problem-solving abilities, including risk-based decision making
Preferred
Prior experience responding to regulatory exams or leading compliance projects strongly preferred
Advanced degree (MBA, JD, MS Finance) preferred
Company
Trandon Associates, Inc.
Established in 1987, Trandon Associates, Inc., is a fully integrated professional staffing solutions firm.
11-50 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase