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Chief Compliance Officer

Chief Compliance Officer

Job ID:  3084
Department:  Sales & Trading
Category:  Compliance

New York, US

Employment Type:  Permanent


Company Overview

Offering a complete ecosystem of maritime services, including broking, finance, port services and research, Clarksons is at the heart of global shipping. Our unrivalled reach, expertise, and depth of experience, combined with leading research, enables us to partner with clients across every sector to meet the demands of the world’s rapidly evolving maritime, offshore, trade and energy markets. Building on our unique heritage and harnessing our insights to see further, faster, we work with our clients and communities to create strategies that have a positive impact on the industry and the world around us. Dedicated to excellence, it’s our people that drive success for our clients.

To understand more including day-to-day life at Clarksons, visit us at


Division Overview

Clarksons Securities, Inc is a FINRA member broker-dealer performing sales and trading, investment banking and chaperoning activities pursuant to Rule 15a-6 under the US Securities Exchange Act of 1934. Clarksons Securities, Inc. is a subsidiary of Clarksons Securities AS in Norway, a full-service investment bank. The company is part of the Clarksons Group with approx. 1700 employees globally, the world’s largest provider of integrates shipping services. The parent company Clarkson PLC is listed on London Stock Exchange.

Role Summary

We are looking for an experienced, hands-on, self-motivated Chief Compliance Officer, FINOP/CFO investment banking principal and operations professional, AMLCO.

What you’ll be doing
Function as the Chief Compliance Officer, FINOP/CFO and operations support
o Series 7, 24, 27 and 79 licenses required.
o Further develop the company’s compliance and supervisory system.
o Responsibility for the company’s FINOP/CFO function, regulatory financial filings, notifications and maintenance of firm books and records.
o Supervision of chaperoning activities pursuant to SEC rules, including FAPs, Research, Trading of Foreign executed securities, 10b-10 requirements, CIP and client onboarding/KYC.
o Cooperate closely with compliance, legal, accounting and finance in Norway and in the group’s main office in London.
Investment banking (IB) principal
o Supervision of US based IB transactions and IB representatives.
o Follow up of transaction documentation on US investment banking transactions and chaperoned transactions.
Operations support
o Resolve trade issues which includes execution and settlement.
o Support the implementation of a new joint trading system together with the Norwegian parent.
o Create and run reports for sales and research to dissect trading statistics, sales coverage and client activities.
o Handle ad hoc requests from traders, brokers and IB personnel.
o Respond to requests from FINRA and SEC and other authorities.
o Assist in the coordination and management of compliance regulatory examination materials and other deliverables. • Additional / ad hoc duties as required to meet the needs of the business.

What we’re looking for

We’d love to hear from you if you:
• are open-minded, embracing of change, driven & enthusiastic, and considerate to others
• act with integrity
• are dedicated to excellence
• collaborate & challenge for collective success

Key Skills & Experience

• Series 7, 24, 27 and 79 licenses required, but for the right candidate we will allow these to be taken over time

• Experience of working in a similar role within a regulated industry

• Used to working with regulatory bodies


Personal Attributes:

• Commercially minded

• Strong communication skills (both verbally and written)

• Calm and measured manner

• Able to grasp and quickly learn

• Concise (not verbose)

• Hardworking and committed

• Gravitas

• Driven, committed and a self-starter – happy working independently