Client: Broker-Dealer firm

Role: Senior Compliance Officer

Experience: 5-15 years

Hybrid: 3 days in the office

Location: Financial District, NYC

Reports directly to the Chief Compliance Officer

Base: 150-180k + bonus (pending experience/ background)

MUST have: Series 7 and 24 - active and in good standing

Responsibilities:

Implementation of the firm's compliance program, with a focus on the broker-dealer side

Assist the Chief Compliance Officer with both broker-dealer and RIA compliance needs

Training and continuing education of employees

Keeping up with new rules and regulations, ensuring the firm's adherence

Updating the firm's policies and procedures accordingly

Review of emails, communications, marketing materials, etc.

U4/U5 registrations

Personal trade surveillance

Background checks

Qualifications

Series 7/24 license - current/ good standing

5-15 years of compliance experience (broker-dealer a must, RIA a plus)

Working knowledge of FINRA rules

ComplySci experience is a big plus

Bachelor's Degree

Ability to be flexible and adaptable as needed

Ability to work in the U.S. with no restrictions (no VISA/ H1B sponsorship)