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← Garda Capital Partners

Deputy Chief Compliance Officer (DCCO)

Garda Capital Partners
Location
New York, New York, United States; Wayzata, Minnesota, United States
Posted
1 month ago
Department
Compliance
Salary
$200,000-225,000
What they actually want (must-haves)
  • Minimum of 10 years of work experience in a compliance function within an SEC- or FINRA-regulated firm or relevant experience with a consulting firm, including leadership or supervisory experience
  • Knowledge and experience with US and international investment management regulatory regimes and laws applicable to trading activities and capital markets
  • Strong analytical skills with attention to detail
  • Excellent verbal and written communication skills
  • Four-year college degree; accounting or finance emphasis preferred
Nice to have
  • Experience on a trading desk may be considered in lieu of direct compliance experience
  • Experience with fixed income and derivative products preferred
  • Familiarity with international regulators such as the Danish FSA, Singapore MAS, or Swiss FINMA is a plus
  • CFA designation or Juris Doctor (JD) degree is a plus
What the job really is

The Deputy Chief Compliance Officer (DCCO) at Garda Capital Partners will lead and enhance the firm's compliance program, focusing on operational and investment activities. Responsibilities include overseeing compliance staff, managing regulatory examinations, collaborating with various teams, and ensuring adherence to laws and regulations. The role also involves training staff, handling third-party vendor relationships, and supporting investor relations efforts.

Benefits
  • Base salary range of $200,000-225,000 in Wayzata and $200,000-250,000 in New York City
  • Discretionary bonus
  • Healthcare plan
  • 401(k) matching program
Things to weigh
  • In-office position with flexibility between Wayzata and New York City
  • Salary range may vary based on location and individual factors
  • Role involves significant leadership responsibilities and oversight of compliance processes
Job score4/5
Benefits2/5
Freshness4/5
Career value4/5
Role clarity5/5
Pay transparency5/5

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