• Location: New York, New York
• Type: Perm
• Job #22878

Company Overview:
A global merchant bank specializing in high-growth sectors of technology, media, and telecommunications is seeking a Compliance Officer to join its New York-based team. This role offers exposure to U.S. and global regulatory compliance within a dynamic and collaborative environment.

Job Responsibilities:

• Provide direct support to the Chief Compliance Officer for administering the broker-dealer compliance program
• Manage a FINRA-compliant program, including maintaining a compliance calendar, conducting annual reviews, and ensuring regulatory filings
• Draft and maintain the firm’s written supervisory procedures, AML Program, and other compliance policies
• Lead compliance training for new hires and administer the continuing education program
• Liaise with outsourced regulatory consultants and oversee broker dealer filings
• Participate in compliance monitoring and risk assessments
• Collaborate with the legal team in reviewing marketing materials
• Monitor compliance with Rule 15a-6 and assist with the firm’s restricted list and related conflicts processes

Qualifications:

• 4-year degree from an accredited educational institution
• 4-6 years’ experience in broker-dealer compliance
• Possess, or be willing to obtain, Series 7 license
• Knowledge of SEC Registered Investment Adviser rules preferred
• Proficiency in Microsoft Office products