Job Description
Join an elite financial services firm in Manhattan as a Senior Compliance Officer. Lead regulatory initiatives, design robust compliance frameworks, and safeguard our operations in a dynamic global market. Enjoy unparalleled career growth, comprehensive benefits, and a competitive compensation package. Be part of a culture that values integrity and excellence.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and NYDFS regulations
- Conduct risk assessments and internal audits for trading operations
- Monitor regulatory changes and advise senior leadership on compliance implications
- Train staff on AML, KYC, and anti-best execution protocols
- Manage regulatory examinations and enforcement actions
- Collaborate with legal and internal audit teams on cross-functional initiatives
Qualifications
- 7+ years of compliance experience in financial services
- FINRA Series 24, 26, or 27 certifications required
- Advanced degree in Finance, Law, or related field
- Expertise in SEC, FINRA, and NYDFS regulations
- Proven track record in regulatory reporting and enforcement responses
- Strong analytical skills with attention to detail
- Experience leading cross-functional compliance teams