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Details
  • 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

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