Chief Compliance Officer

CastleOak Securities, L.P. ("CastleOak") is a premier boutique investment bank focused on providing capital markets services to a broad array of corporate, governmental and institutional clients. Headquartered in New York City, the firm specializes in primary and secondary sales and trading of fixed income, equity, and money market securities, as well as financial advisory (including M&A and private placements). Since its founding in 2006, CastleOak has assisted its clients on public offerings totaling over $4 trillion. CastleOak's professionals average 20 years of successful Wall Street experience and ongoing working relationships with some of the largest global corporations.

We offer a competitive total rewards package including:

• Hybrid workplace: work from home 2 days per week!
• Health insurance: competitive medical, dental, and vision programs
• Commuter benefits
• 401(k) with a company match
• Charitable contribution match program for employees
• Company-paid life insurance, short-term and long-term disability insurance
• Paid time off: vacation, personal days, sick leave, etc.
• Intentional culture celebrations and social outings

Position

The Chief Compliance Officer (CCO) will have overall responsibility for the firm's compliance programs, including developing policies and procedures, communicating all regulatory changes, and delivering training, testing, and assessments. The successful candidate will have experience across business lines (e.g., fixed income sales & trading, equities sales & trading, investment banking) and experience working with external compliance consultants. This role involves overseeing compliance operations, managing regulatory relationships, and providing strategic guidance where appropriate. The CCO will provide advice on and oversight of the firm's compliance with U.S. securities laws and regulations, liaise with regulators on a regular basis, and be responsible for the day-to-day management and execution of all compliance activities for the firm.

Reporting to the Head of Legal & Compliance and operating as a department of one (with external compliance consulting support and the potential to hire an analyst if needed), the successful candidate will take a hands-on approach, pivoting seamlessly between strategic and tactical activity to ensure that the firm adheres to all regulatory requirements and maintains the highest standards of ethical conduct.

Essential responsibilities

• Direct the execution of the broker-dealer compliance program, including testing, monitoring, surveillance, and adherence to all relevant and applicable laws and regulations
• Identify policy and procedural enhancements and maintain awareness of company goals, regulatory developments, and industry trends
• Implement, oversee, and update the surveillance program, testing programs, and the employee education programs, including reviewing and addressing concerns from compliance testing results
• Transaction monitoring of client activity and exception reporting
• Daily risk management and pre/post trade surveillance and analysis
• Liaise with and manage the firm's provider of outside regulatory compliance support services
• Part of the team that communicates with regulators and spearheads responses to inquiries
• Review and approval of Employee Trading, Personal Securities Transactions, Outside Business Activities, Political Contributions, Annual Compliance Certifications
• Manage Firm certifications/renewals and review RFIs
• Lead periodic KYC reviews and risk ratings, adverse news, and sanctions reviews
• Review marketing and advertising for compliance with FINRA rules
• Conduct compliance training, ensuring courses are compatible with regulations
• Monitor the effectiveness of established compliance processes and controls across all business lines and recommend and implement enhancements
• Oversee the firm's Anti-Money Laundering program, including policy maintenance, annual training, and independent audits
• Participate in industry discussions to build and maintain knowledge of current and emerging issues
• Work in conjunction with department managers to update the Firm's Written Supervisory Procedures based on new rules and regulations and/or process enhancements and communicate such changes simply and efficiently to affected business units in order to minimize bureaucracy and process burden

Required Qualifications:

• Bachelor's degree
• Minimum 7 years' experience with a FINRA registered broker-dealer that includes experience working directly with regulators
• Series 7, 63, and 24
• In-depth understanding of MSRB, FINRA and SEC rules and regulations relating to broker-dealers and investment advisors, including investment advisors under the Investment Advisers Act of 1940 and similar state statutes
• Experience in various lines of business including, but not limited to equities sales & trading, fixed income sales & trading, and investment banking
• Comprehensive understanding of applicable laws, regulations, and requirements and best industry practices with respect thereto
• Ability to think intuitively and strategically
• Highly developed communication, negotiation, organizational, project management, and strategic planning skills
• Solutions-oriented problem solver with strong customer service skills
• Excellent oral and written communication skills; ability to negotiate and collaborate with others
• Ability to work independently and manage multiple complex projects simultaneously
• Proficient with Microsoft Office

Compensation

$160,000 - $215,000 based on experience; eligible for discretionary bonus

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, citizenship, age, marital status, medical condition (including pregnancy and related conditions), physical or mental disability, protected veteran status, and/or any other characteristic protected by law.

Please do not contact employees of the firm directly regarding open positions.