Deputy Chief Compliance Officer

Integrity•Dallas, TX

About The Position

The Deputy Chief Compliance Officer, working under the direction of the Chief Compliance Officer, supports the design, implementation, and ongoing oversight of the firm’s compliance program within a wholesale broker dealer model. This role partners closely with senior leadership to promote a strong culture of compliance, ensure adherence to applicable regulatory requirements, enhance supervisory processes across the organization, and support business activities conducted with registered financial professionals and institutional intermediaries. The Deputy CCO plays a key role in advising the business on compliance considerations specific to a wholesale environment, including maintaining boundaries between wholesale and retail activities, and helps ensure the firm’s supervisory framework remains effective, risk-focused, and aligned with regulatory expectations. This individual is a strategic partner to the business – someone who can influence change, navigate complexity with sound judgment, and approach challenges with a solutions-oriented mindset. The ideal candidate brings a steady presence, remains calm under pressure, and is able to guide the firm through evolving regulatory and business demands while protecting the integrity of the organization.

Requirements

Active FINRA registrations: SIE and either Series 6 or 7 required
Series 14 required (or ability to obtain within 6 months of hire)
Either Series 26 or 24 required (or ability to obtain within 6 months of hire)
Minimum 3 years’ experience within a broker dealer compliance program; wholesale or distribution-focused experience preferred
Demonstrated ability to influence change and partner effectively with business leaders
Proven ability to organize, prioritize, and execute on large-scale projects
Passion for building and enhancing a culture of compliance
Proven ability to remain composed under pressure and navigate complex, fast-moving situations
Solutions-oriented mindset with the ability to balance business objectives and regulatory requirements (not a “no-first” approach)
Strong understanding of broker dealer and agency regulatory frameworks and supervisory practices
Excellent judgement, communication, presentation, and analytical skills
Strong communication, presentation, and analytical skills – proficient in Microsoft products
Organized with the ability to handle multiple tasks and multiple priorities simultaneously
Ability to work independently and communicate results

Nice To Haves

Life and Annuity Insurance license preferred
wholesale or distribution-focused experience preferred

Responsibilities

Support the administration and continuous enhancement of the firm’s compliance program
Assist in the development, implementation, and maintenance of written supervisory procedures (WSPs)
Provide guidance to business partners on regulatory requirements, with a focus on wholesale distribution activities
Help monitor and enforce appropriate wholesale boundaries to mitigate retail-related regulatory risk
Participate in compliance testing, monitoring, and internal reviews
Oversee or support sales and advertising review in accordance with applicable regulatory standards
Coordinate responses to regulatory inquiries and assist in communications with regulators
Support regulatory filings, including applicable FINRA forms and disclosures
Assist in the coordination and management of regulatory examinations and audits
Oversee licensing and registration processes for registered representatives
Assist in supervising and developing members of the compliance team
Lead or participate in enterprise-wide initiatives and cross-functional projects
Take ownership of large, complex projects and drive execution from planning through completion
Support training and communication initiatives to reinforce a culture of compliance
Monitor regulatory developments (federal, state and SRO regulations) and assist in evaluating and implementing updates impacting the firm and its business