Job Description
Join our elite compliance team in the heart of Manhattan as a Compliance Officer. We provide state-of-the-art equipment including ergonomic workstations, dual monitors, and specialized regulatory software to ensure your success in this critical role. As a key member of our Risk Management Division, you'll safeguard our organization's integrity while enjoying unparalleled career growth in the financial capital of the world.
Responsibilities
- Develop and implement robust compliance programs aligned with FINRA, SEC, and NYDFS regulations
- Conduct thorough risk assessments and internal audits across trading operations
- Prepare comprehensive regulatory reports and disclosures for executive stakeholders
- Lead training initiatives on evolving compliance protocols for 200+ staff
- Investigate potential violations and recommend corrective actions
- Collaborate with legal counsel on policy updates and enforcement strategies
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services or fintech
- FINRA Series 24, 26, or 27 certification required
- Advanced proficiency in RegTech platforms (e.g., Compliance.ai, LogicGate)
- Expertise in NYDFS Part 500 and Anti-Money Laundering protocols
- Strong analytical skills with data-driven decision-making ability
- Exceptional written/verbal communication for regulatory documentation