We are seeking an experienced Compliance Officer to support the firm's broker-dealer compliance program. This individual will work closely with senior Compliance leadership and business partners to ensure adherence to FINRA, SEC, and other applicable regulatory requirements.
Responsibilities:
- Support the firm's overall broker-dealer compliance and supervisory program, including maintenance and implementation of Written Supervisory Procedures (WSPs).
- Conduct supervisory reviews and monitoring of brokerage activities, trading, customer accounts, and registered personnel.
- Assist with regulatory filings, examinations, inquiries, and requests from FINRA, SEC, and other regulators.
- Review and monitor employee activities, including outside business activities, personal securities accounts, and other required disclosures.
- Support trade surveillance and review for potential regulatory or compliance issues.
- Assist with AML and financial crime compliance, including KYC/CIP, transaction monitoring, suspicious activity reviews, escalations, and sanctions-related matters.
- Identify compliance risks and work with business and operations teams to strengthen controls and remediate issues.
- Assist with compliance testing, annual reviews, training, recordkeeping, and regulatory reporting.
- Stay current on changes to FINRA and SEC rules and assess their impact on the firm.
Qualifications:
- 5+ years of broker-dealer compliance experience.
- Active Series 7 and Series 24 licenses required.
- Working knowledge of FINRA and SEC broker-dealer regulations.
- Experience with AML/KYC and financial crime compliance.
- Knowledge of brokerage operations, trading, clearing, and/or custody preferred.
- Experience working with regulators and supporting regulatory examinations preferred.
- Strong analytical, communication, and problem-solving skills.
- Ability to work in a hands-on environment and manage multiple compliance responsibilities.
We are seeking an experienced Compliance Officer to support the firm's broker-dealer compliance program. This individual will work closely with senior Compliance leadership and business partners to ensure adherence to FINRA, SEC, and other applicable regulatory requirements.
Responsibilities:
- Support the firm's overall broker-dealer compliance and supervisory program, including maintenance and implementation of Written Supervisory Procedures (WSPs).
- Conduct supervisory reviews and monitoring of brokerage activities, trading, customer accounts, and registered personnel.
- Assist with regulatory filings, examinations, inquiries, and requests from FINRA, SEC, and other regulators.
- Review and monitor employee activities, including outside business activities, personal securities accounts, and other required disclosures.
- Support trade surveillance and review for potential regulatory or compliance issues.
- Assist with AML and financial crime compliance, including KYC/CIP, transaction monitoring, suspicious activity reviews, escalations, and sanctions-related matters.
- Identify compliance risks and work with business and operations teams to strengthen controls and remediate issues.
- Assist with compliance testing, annual reviews, training, recordkeeping, and regulatory reporting.
- Stay current on changes to FINRA and SEC rules and assess their impact on the firm.
Qualifications:
- 5+ years of broker-dealer compliance experience.
- Active Series 7 and Series 24 licenses required.
- Working knowledge of FINRA and SEC broker-dealer regulations.
- Experience with AML/KYC and financial crime compliance.
- Knowledge of brokerage operations, trading, clearing, and/or custody preferred.
- Experience working with regulators and supporting regulatory examinations preferred.
- Strong analytical, communication, and problem-solving skills.
- Ability to work in a hands-on environment and manage multiple compliance responsibilities.
