Position: Compliance Officer
Reports to: Group Chief Compliance Officer
Location: New York City, USA
The opportunity:
MillTech is seeking a Compliance Officer to lead the compliance function for our New York office. Reporting the Group Chief Compliance Officer, you will assist with the design, implementation, and continuous improvement of our compliance program. This is a high visibility role for a leader who can pair deep regulatory expertise with pragmatic, business enabling judgment.
Your specific responsibilities will be:
- Own and evolve the firm's compliance program, policies, and code of ethics across all business lines.
- Serve as primary liaison with regulators, including the SEC, FINRA, NFA and other federal and state authorities; manage examinations, inquiries, and filings.
- Oversee AML, KYC, and sanctions (OFAC) programs, including suspicious activity monitoring and reporting.
- Monitor regulatory developments and translate them into practical guidance for the business.
- Lead compliance risk assessments, testing, surveillance, and remediation of identified issues.
- Advise senior leadership on compliance risks affecting new products, markets, and strategic initiatives.
- Build, mentor, and scale a high performing compliance team; foster a strong culture of compliance.
- Deliver compliance training and manage employee certifications, personal trading, and conflicts of interest programs.
Requirements (essential);
- 10+ years of compliance experience in financial services, with 5+ years in a senior leadership role (CCO, Deputy CCO, or equivalent).
- Deep knowledge of SEC, FINRA, NFA and NYDFS regulatory frameworks; hands-on experience managing regulatory examinations.
- Expertise in AML/BSA, sanctions, and anti-fraud regimes.
- Relevant certifications (CAMS, CRCP, or similar) preferred.
- FINRA Series 14 or 24
- Proven ability to influence executives and boards, and to build compliance functions that scale with the business.
- Impeccable integrity, sound judgment, and clear, direct communication.
What we offer in return:
Our commitment is to help you flourish in this role, through support with your professional development, opportunities to be involved in key projects, and exposure to challenges that you may not be offered in a larger organisation. We will provide:
- A competitive salary with annual reviews;
- 25 days' paid annual leave plus an additional day per year of service;
- Excellent staff development and training opportunities;
- Flexible working arrangements including remote working;
- Healthcare
- 401(k) with employer match
How to apply?
We would like to hear from you if you think that you're a good fit for this role. To apply you should upload your CV. One of the team will then be in touch with you to discuss the next steps.
