Job Description
Join our elite compliance team in the heart of New York City's financial district. We're seeking a seasoned Senior Compliance Officer to lead regulatory initiatives and safeguard our operations in the fast-paced fintech sector. This role offers unparalleled career growth, competitive compensation, and the opportunity to shape compliance strategy for a global leader.
What We Offer:
- Comprehensive benefits package including 401(k) matching
- Professional development budget
- Hybrid work schedule with downtown office
- Performance-based bonuses up to 20%
Responsibilities
- Develop and implement enterprise-wide compliance programs aligned with FINRA, SEC, and NYDFS regulations
- Conduct risk assessments and internal audits for financial products and services
- Lead regulatory reporting initiatives and manage exam responses
- Train senior staff on AML, KYC, and sanctions compliance protocols
- Collaborate with legal and business units on compliance frameworks
- Monitor regulatory changes and update policies accordingly
- Manage compliance technology implementations and data analytics
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 8+ years of compliance experience in financial services
- FINRA Series 7, 24, and 63/66 certifications required
- Expert knowledge of NYDFS Part 500 and federal banking regulations
- Proven experience leading compliance transformations
- Advanced proficiency in compliance management software (e.g., MetricStream)
- Strong analytical skills with data-driven approach
- Excellent communication and stakeholder management abilities