A newly created role at full-service Broker Dealer in Emerging Markets due to team growth, this is an excellent chance to eventually succeed the Chief Compliance Officer, who plans to retire in the next ~5 years.

Senior Compliance Officer

Full-Service Broker Dealer & Investment Bank Specializing in Emerging Markets

Location: Greenwich, CT (Train Accessible, Walking Distance)

Compensation: $150K base (stretch) + ~20% discretionary bonus

Schedule: 4-5 days in office; full-time for first 6-12 months for training

Why Join Us?

• Small Team, Big Impact: 30 employees locally, ~100 globally.
• Stability: Family-friendly, low turnover, employees often stay 20+ years.
• Growth Opportunity: Succession path to Chief Compliance Officer in ~5 years.
• Unique Perks: Bring kids or pets to work, monthly team events, extravagant holiday parties, and international travel (~2-3 trips/year to great locations like Spain, Brazil, and Singapore).
• Generous Benefits: 75% company-paid medical/dental, flexible PTO, better-than-bank plans.

What We’re Looking For

• Experience: 4-10+ years in compliance, preferably in financial services.
• Certifications: Series 7 required; Series 24 preferred.
• Skills: Quick learner, assertive communicator, and proactive problem-solver.
• Bonus: Spanish or Portuguese (or any foreign language) proficiency for global engagement.

What You’ll Do

Compliance Oversight:

• Supervise adherence to regulatory requirements, including audits, filings, and surveillance.
• Act as a liaison with regulatory bodies, managing inquiries and examinations.
• Implement and enhance compliance policies, procedures, and internal controls.

Anti-Money Laundering (AML):

• Conduct AML surveillance, file SARs as necessary, and deliver AML training.
• Stay up-to-date with evolving AML regulations and best practices.

Regulatory Risk Management:

• Advise senior management on legal, regulatory, and compliance risks.
• Design and execute corrective and preventative actions for compliance issues.

Training and Supervision:

• Develop and maintain written supervisory procedures (WSPs).
• Conduct compliance training and oversee monitoring activities such as trade surveillance and personal account dealing.

Regulatory Reporting:

• Ensure public communications align with regulatory guidelines.

Ready to grow with a dynamic, supportive team?

Apply now & send your resume to !