Senior Compliance Officer

Client: Broker-Dealer firmRole: Senior Compliance OfficerExperience: 5-15 yearsHybrid: 3 days in the officeLocation: Financial District, NYCReports directly to the Chief Compliance OfficerBase: 150-180k + bonus (pending experience/ background)MUST have: Series 7 and 24 - active and in good standingResponsibilities:Implementation of the firm's compliance program, with a focus on the broker-dealer sideAssist the Chief Compliance Officer with both broker-dealer and RIA compliance needsTraining and continuing education of employeesKeeping up with new rules and regulations, ensuring the firm's adherenceUpdating the firm's policies and procedures accordingly Review of emails, communications, marketing materials, etc.U4/U5 registrationsPersonal trade surveillanceBackground checksQualificationsSeries 7/24 license - current/ good standing5-15 years of compliance experience (broker-dealer a must, RIA a plus)Working knowledge of FINRA rulesComplySci experience is a big plusBachelor's DegreeAbility to be flexible and adaptable as neededAbility to work in the U.S. with no restrictions (no VISA/ H1B sponsorship)

Created: 2025-01-23