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Storm2

Chief Compliance Officer

Dallas, TX · On-site

⚡ Chief Compliance Officer 💼 Institutional Broker Dealer & Clearing 💲 $250,000 to $350,000 + Bonus + Equity 🌎 Dallas, Texas A regulated financial services firm operating across ...

IHOP

CREW CHIEF

Liberal, KS · On-site

$18.50 - $24/hr

... Dealing with customer complaints and queries • Overseeing stock and pricing control • ... Chief Job Requirements: • Commercial awareness • Confidence • Resourcefulness • ...

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Chief Dealer information

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$33K

$124.4K

$200.5K

How much do chief dealer jobs pay per year?

As of Sep 9, 2026, the average yearly pay for chief dealer in the United States is $124,409.00, according to ZipRecruiter salary data. Most workers in this role earn between $93,000.00 and $146,000.00 per year, depending on experience, location, and employer.

What is a chief dealer?

A Chief Dealer is a senior professional in financial institutions, such as banks or investment firms, who oversees the trading activities of various financial instruments like currencies, securities, or derivatives. They are responsible for managing a team of dealers, ensuring compliance with regulatory standards, and implementing trading strategies to maximize profits and minimize risks. Chief Dealers also monitor market trends, set trading limits, and report on performance to senior management. Their expertise helps maintain the institution's financial stability and competitive edge in the markets.

What are the key skills and qualifications needed to thrive as a chief dealer?

To thrive as a Chief Dealer, you need a deep understanding of financial markets, risk management, and trading strategies, typically supported by a degree in finance or economics and extensive dealing experience. Proficiency with trading platforms, market analysis tools, and regulatory compliance systems is essential. Strong analytical thinking, decision-making under pressure, and effective communication are crucial soft skills in this role. These skills and qualities are vital for executing trades efficiently, managing risk, and leading a successful dealing team in fast-moving financial environments.

What are some common challenges a chief dealer faces in managing a trading desk, and how can these be addressed?

A Chief Dealer often faces challenges such as managing market volatility, ensuring regulatory compliance, and balancing risk while achieving profit targets. Effective communication with team members and other departments is crucial to quickly address market changes and maintain operational efficiency. Staying updated with market developments and fostering a culture of continuous learning can help the team adapt to new trading technologies and evolving compliance requirements. Regular training and transparent reporting structures are also important for addressing these challenges proactively.
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Chief Dealer jobs near you
Infographic showing various Chief Dealer job openings in the United States as of September 2026, with employment types broken down into 2% Internship, 1% As Needed, 89% Full Time, 7% Part Time, and 1% Contract. Highlights an 92% Physical, 2% Hybrid, and 6% Remote job distribution, with an average salary of $124,409 per year, or $59.8 per hour.

Chief Compliance Officer

Dallas, TX • On-site

Storm2
See more jobs at Storm2external

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Re-posted 6 days ago

Job description

⚡ Chief Compliance Officer

💼 Institutional Broker Dealer & Clearing

💲 $250,000 to $350,000 + Bonus + Equity

🌎 Dallas, Texas


A regulated financial services firm operating across institutional brokerage, clearing, electronic trading and digital assets is seeking a Chief Compliance Officer to lead its compliance programme. The business requires a hands on executive who can support growth while maintaining a strong supervisory framework and high standards of regulatory integrity.


About the role:

As Chief Compliance Officer, you will lead and oversee the compliance programme for the firm’s broker dealer and affiliated regulated entities. You will act as the primary adviser to senior management on regulatory, compliance and conduct risk, while serving as the principal liaison with FINRA, the SEC, state regulators, exchanges and other regulatory authorities.


This is a hands on leadership role requiring both strategic direction and operational execution. You will oversee General Compliance, AML and Trade Surveillance, while ensuring the firm’s compliance programme scales across institutional brokerage, self clearing, securities lending, electronic trading, futures and digital asset related activities.


The Perfect Candidate

  • Broker Dealer Compliance Leader with experience as a Chief Compliance Officer, Deputy Chief Compliance Officer or Head of Compliance
  • Strong exposure to institutional brokerage, self clearing, prime brokerage, ATS or electronic trading
  • Leadership responsibility across General Compliance, AML and Trade Surveillance


What You’ll Do

  • Regulatory Oversight: Act as the primary contact for FINRA, the SEC, state regulators and exchanges, leading regulatory examinations, investigations, inquiries and remediation programmes.
  • Programme Leadership: Design, implement and continuously enhance the firm’s compliance programme, Written Supervisory Procedures, risk assessments, testing, monitoring and licensing frameworks.
  • Trading Compliance: Oversee compliance across institutional brokerage, self clearing, market access, trade surveillance, communications surveillance, securities lending and futures activities.
  • Risk & Governance: Establish compliance risk indicators, executive reporting and governance processes while escalating and remediating regulatory or conduct risks.
  • Strategic Partnering: Work closely with Legal, Risk, Operations, Finance, Technology and business leadership to support new products, acquisitions, market entry and continued growth.


Qualifications

  • 10+ years of broker dealer compliance experience within a regulated financial services environment.
  • Deep knowledge of FINRA rules, SEC regulations, supervisory frameworks, AML, sanctions and trade surveillance.
  • Experience supporting institutional brokerage, self clearing, prime brokerage, ATS, electronic trading or related market activity.
  • Demonstrated experience managing regulatory examinations, investigations, enforcement matters and enterprise remediation.
  • Proven leadership across General Compliance, AML and Trade Surveillance, directly or through senior compliance leaders.
  • FINRA Series 7 and Series 24 are required. Series 3 is required or expected to be obtained shortly after joining.


Why Join

  • $250,000 to $350,000 Base + Targeted Discretionary Bonus + Equity Opportunity
  • Executive ownership of a multi disciplinary compliance organisation.
  • Direct interaction with senior leadership, governance committees and regulatory authorities.
  • Opportunity to transform and scale an enterprise compliance programme.
  • Exposure to institutional brokerage, clearing, electronic trading, futures and digital asset related activities.
  • Influence over new products, strategic initiatives and future business expansion.

Apply