Deputy Chief Compliance Officer in Schaumburg, IL

$$250K+(Ladders Estimates)

Cetera Financial Group   •  

Schaumburg, IL 60195

Industry: Finance & Insurance


11 - 15 years

Posted 62 days ago

This job is no longer available.

The primary responsibilities for this position include:

  • Draft and maintain policies and procedures to ensure that the broker-dealer compliance programs meet applicable laws and regulations to ensure that adviser's activities are conducted in compliance with applicable policies and procedures
  • Oversee compliance risk assessments and manage the department's testing and monitoring program in accordance with regulatory expectations and best practices
  • Make a broad range of decisions, yet communicates and escalates issues as appropriate to the CCO
  • Partner effectively with financial advisors along with internal departments such as Operations, Information Technology, Finance, Supervision and Business Departments to advance initiatives
  • Provide recommendations to various business units and the CCO regarding the implementation of new rules and regulations
  • Supports the identification of, and response to, compliance risk within the organization
  • Develops and implements an enterprise level risk mitigation plan that both protect the firm's reputation and financial standing while allowing the business to grow
  • Stays current on regulatory trends



  • Bachelor's degree
  • Series 7, 24 & 66
  • Minimum 10 years' experience of broker-dealer compliance and must have managed other professionals as a Compliance Officer
  • Strong knowledge of FINRA and SEC rules and regulations
  • Positive attitude
  • Superior communication skills
  • Collaborative and relationship oriented; yet delivering difficult messages when necessary
  • Possess the ability to simplify the message depending on the intended audience
  • Proven ability to evaluate risk and make independent decisions
  • Accountable and resourceful
  • Manage time effectively and responding quickly to team members, advisors and colleagues
  • Strong people manager
  • Successfully motivate, support and lead a team of Senior Compliance Analysts
  • Ability to communicating expectations to staff and field personnel in a clear and concise manner
  • Dedicated to the support, growth and future success of direct reports
  • Limited travel expectations

Valid Through: 2019-9-16