Broker Dealer Compliance Officer
Recruit experienced compliance officers equipped to oversee trade reporting, supervise broker-dealer activity, navigate FINRA rules, and handle complex SEC regulatory examinations with precision.
Secure seasoned equities compliance leaders who protect your trading floor, navigate evolving FINRA and SEC oversight, and preserve market integrity. Ikon Search connects global investment banks, broker-dealers, and proprietary trading firms with elite compliance officers and directors who ensure continuous regulatory alignment, audit readiness, and sound corporate governance across complex cash equity and derivatives operations.
Comprehensive talent solutions placing exceptional risk and regulatory leaders across institutional broker-dealers, investment banks, and trading firms.
Recruit experienced compliance officers equipped to oversee trade reporting, supervise broker-dealer activity, navigate FINRA rules, and handle complex SEC regulatory examinations with precision.
Place senior advisory directors who guide front-office equities trading desks, interpret evolving securities policies, and structure robust compliance frameworks that balance commercial agility with strict controls.
Appoint strategic heads of compliance to lead firm-wide oversight, manage supervisory procedures, liaise with regulatory authorities, and elevate corporate governance standards across institutional equities businesses.
Secure seasoned compliance monitoring leaders with extensive experience conducting internal branch inspections, supervisory controls audits, and surveillance remediation for registered equities broker-dealers.
Engage proven interim CCOs to steer registered investment advisory compliance frameworks, oversee regulatory filings, manage annual reviews, and ensure continuity during key executive transitions.
Access full-spectrum recruitment spanning quantitative compliance, market conduct surveillance, financial crimes investigations, and enterprise risk management across diverse capital markets platforms.
We conduct an in-depth intake consultation to understand your firm's trading operations, institutional culture, reporting hierarchy, and specific supervisory requirements under SEC and FINRA regulatory frameworks.
Explore how our tailored executive search approach secures transformative compliance leaders for institutional trading institutions.
"We are thrilled with the exceptional executive assistant placement we received through Ikon Search. The candidate they recommended for our private equity firm has exceeded all expectations. In a fast-paced, high-pressure environment like private equity, finding someone who can not only support our senior leadership team but also anticipate needs..."
"Ikon was instrumental in building out my marketing team, from senior executive to associate. A truly full service staffing partner."
"Ikon Search filled a highly critical PR Director position at a hedge fund HQ in NY. We were to demonstrate our expertise in the financial services sector and a deep understanding of the unique skill set required for the role. We ensured that each candidate was not only highly qualified..."
"We are thrilled with the exceptional executive assistant placement we received through Ikon Search. The candidate they recommended for our private equity firm has exceeded all expectations. In a fast-paced, high-pressure environment like private equity, finding someone who can not only support our senior leadership team but also anticipate needs..."
"Ikon was instrumental in building out my marketing team, from senior executive to associate. A truly full service staffing partner."
"Ikon Search filled a highly critical PR Director position at a hedge fund HQ in NY. We were to demonstrate our expertise in the financial services sector and a deep understanding of the unique skill set required for the role. We ensured that each candidate was not only highly qualified..."
"We are thrilled with the exceptional executive assistant placement we received through Ikon Search. The candidate they recommended for our private equity firm has exceeded all expectations. In a fast-paced, high-pressure environment like private equity, finding someone who can not only support our senior leadership team but also anticipate needs..."
"Ikon was instrumental in building out my marketing team, from senior executive to associate. A truly full service staffing partner."
"Ikon Search filled a highly critical PR Director position at a hedge fund HQ in NY. We were to demonstrate our expertise in the financial services sector and a deep understanding of the unique skill set required for the role. We ensured that each candidate was not only highly qualified..."
Specialized executive search combining deep capital markets fluency with agile delivery.
Founded by industry veterans offering twenty-five plus years of specialized executive recruitment leadership experience.
Our deep talent pool typically allows us to present qualified compliance candidates within two to three days.
Choose between retained search, direct hire permanent placement, long or short-term contract, and temp-to-hire solutions.
We thoroughly evaluate securities regulatory expertise, cultural alignment, and supervisory acumen through comprehensive vetting.
Dedicated recruitment leaders guiding strategic talent acquisition across capital markets.
Head of Contract Services
Kristin Lutz serves as Head of Contract Services at Ikon Search, the boutique staffing firm she helped establish in 2021. With deep expertise in contract and contingent workforce solutions, Kristin brings a client-first approach to every engagement, investing time upfront to thoroughly understand each organization's culture, values, and long-term hiring goals. Her extensive background in executive search and staffing enables her to connect businesses across financial services, technology, insurance, and marketing with exceptional professionals efficiently and accurately. Kristin is committed to delivering clean, quality-driven candidate pipelines and building lasting partnerships that support sustainable growth for clients ranging from growing startups to established corporations and PE-backed portfolio companies.
Head of Insurance
Connor Brown is the Head of Insurance at Ikon Search, leading the firm's specialized Insurance, Risk & Compliance recruiting division. With a focused expertise in the insurance sector, Connor works closely with carriers, brokerages, MGAs, reinsurers, and TPAs to identify and place top-tier talent across a wide range of roles. He leverages deep industry knowledge, broad professional networks, and Ikon Search's cutting-edge recruitment technology to present highly qualified candidates typically within two to three days. Connor takes pride in building genuine relationships with both clients and candidates, ensuring every placement aligns with the organization's operational needs, culture, and long-term strategic objectives.
Managing Partner
Adam Levy is a key team member at Ikon Search, the boutique staffing firm founded in 2021 with a mission to deliver tailored talent solutions across select industries. Adam contributes to the firm's commitment to pairing rigorous candidate vetting with a deep understanding of client needs, helping businesses across financial services, technology, insurance, and marketing find exceptional professionals. He embraces Ikon Search's core values of tailored focus, market speed, and data quality, working diligently to build and maintain strong relationships with both clients and candidates. Adam's collaborative approach supports the firm's ability to handle diverse hiring engagements, from full-time permanent placements to contract and temp-to-hire arrangements.
Equities compliance leaders typically possess extensive backgrounds in securities regulation, internal supervisory controls, and market surveillance. Candidates frequently hold FINRA licenses such as Series 7, 24, and 14, along with substantial direct experience advising cash equity desks, algorithmic trading units, and electronic execution venues under SEC, FINRA, and exchange rules.
Speak directly with our specialized financial services recruitment team today.
Recognized excellence in financial services compliance talent acquisition.
Verified standards in executive recruitment and leadership placement.
Proven talent solutions for broker-dealers and investment banks.
Submit your hiring requirements or schedule a confidential consultation with our financial services recruitment team to receive vetted candidate shortlists in two to three days.
For immediate assistance, feel free to give us a direct call at 347 332 9668. You can also send us a quick email at KristinL@ikonsearch.com.
For immediate assistance, feel free to give us a direct call at 347 332 9668. You can also send us a quick email at KristinL@ikonsearch.com.