Garda Capital Partners
Deputy Chief Compliance Officer (DCCO)
$200K–$250K
New York, New York, United States +3 · Full-time · Posted Aug 18, 2026
- Location
- New York, New York, United States
Wayzata, Minnesota, United States
New York, New York, United States
NYC (New York) - Non-Investment - Experience
- A minimum of 10 years; trading desk experience may be considered in lieu of direct compliance experience.
- Education
- Four-year college degree; accounting or finance emphasis preferred. CFA designation or Juris Doctor (JD) degree is a plus.
About the job
Leads and improves Garda’s global compliance program, overseeing surveillance, regulatory responses, employee and fund compliance, reporting, and compliance staff.
What you'll do
- Lead trading and market surveillance, investigate and escalate issues, and oversee transaction and position reporting.
- Help manage regulatory examinations and inquiries, monitor regulatory changes, and maintain compliance protocols across domestic and international operations.
- Oversee employee, fund-level, marketing, reporting, vendor, and training compliance activities.
What they ask for
- At least 10 years of work experience in compliance at an SEC- or FINRA-regulated firm, or relevant consulting experience; trading-desk experience may substitute for direct compliance experience.
- Leadership or supervisory experience.
- Knowledge of US and international investment-management regulatory regimes and laws applicable to trading activities and capital markets.
- Four-year college degree.
Nice to have
- Experience with fixed income and derivative products; familiarity with Danish FSA, Singapore MAS, or Swiss FINMA.
- Accounting or finance emphasis; CFA designation or Juris Doctor (JD) degree.
Pay
$200,000-225,000 USD base salary (Wayzata); $200,000-250,000 USD base salary (New York City); $200,000 — $250,000 USD base salary
Model-written summary · the original posting is authoritative