Compliance Officer (Broker Dealer)

Leading Broker Dealer is looking to hire a Compliance Officer in New York City.

This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an industry leading team.

The ideal candidate will have:

• 3-10 years Broker Dealer and Advisory compliance experience.
• Strong knowledge of SEC, FINRA, and other regulations.
• SEC Investment Advisors Act of 1940 experience
• Develop and maintain compliance policies and procedures.
• Conduct compliance audits and risk assessments.
• Monitor regulatory developments and implement necessary changes.
• Licensing & Registrations and Filings (Form BD, Form BR, U4/U5, Form NRF)

Qualifications:

• A strong academic pedigree from a top university: Bachelor’s degree in Finance, Business, Law, or related field.
• Excellent analytical and communication skills.
• Relevant certifications (e.g., Series 7, Series 24) are a plus.

The position will suit a highly motivated and entrepreneurial individual looking to work at a firm renowned for innovation and integrity.

A highly competitive compensation package is on offer.

For a discussion in confidence, please apply with your resume.