Senior Compliance Officer, Investec USA About the team: Investec USA's Compliance Advisory function is based in our New York office and supports multiple business lines, with a primary focus on a registered broker-dealer. You'll be a key member of a compliance team, reporting directly to the Chief Compliance Officer, while working closely with colleagues globally to deliver consistent, commercially-aware advice across our international platform.
What will I be doing? - Provide day-to-day regulatory and policy advice to business lines, including a 15a-6 broker-dealer, specialist lending desks, and global affiliates with a focus on equity markets.
- Advise on U.S. securities regulations (SEC, FINRA) and broker-dealer obligations, including requirements applicable to 15a-6 cross-border activities.
- Act as a trusted advisor to senior stakeholders, delivering timely, practical guidance on complex and time-sensitive matters.
- Oversee and manage client onboarding and AML/KYC processes, including due diligence and documentation.
- Oversee and manage various record-keeping obligations of the Firm pertaining to business lines, supervision and employee oversight.
- Support the registration and licensing function.
- Assist with overseeing and managing the AML program of the Firm.
- Oversee Personal Account dealings and other regulated activities of the Firm's employees.
- Assist with managing various internal and external audits of the Firm, ensuring readiness and remediation of findings.
- Identify, assess, and prioritise regulatory and compliance risks across covered business lines.
- Regularly update a well-established compliance program, including policies, procedures, and controls aligned to U.S. regulatory requirements and global, parent-company standards.
- Support new business initiatives, transactions, and product approvals from a compliance perspective.
- Provide guidance and ensure adherence to market conduct, conflicts clearance and information barrier requirements across all relevant activities.
- Coordinate compliance issue tracking, escalation, and remediation, ensuring appropriate governance and documentation.
- Deliver management reporting on compliance risks, themes, and emerging regulatory developments.
- Assist the Firm's management with regulatory inquiries, examinations, and responses.
- Maintain strong awareness of evolving regulatory expectations and industry practices.
- Assist with developing and delivering targeted compliance training to business stakeholders.
- Draft and maintain policies and procedures consistent with U.S. regulatory requirements and global standards.
- Promote a strong culture of compliance and conduct across the organisation.
- Partner with specialist teams including Legal, Compliance Advisory, Control Room, Surveillance, IT, Operations, Research and third-party Compliance vendors.
- Collaborate with global Compliance colleagues (London, Johannesburg, Mumbai, etc.) to ensure consistency in approach and handling of cross-border matters.
- Provide leadership, oversight, and mentorship to the Compliance Associate, fostering strong performance, development, and team effectiveness.
- Manage and develop junior team resources as part of the broader remit, with direct responsibility for the Compliance Associate.
What do I need to bring? - FINRA Series 14 licence required; eligibility to obtain FINRA Series 24 licence is a plus.
- Master's degree (Compliance, Risk Management, Business or related field) with 7+ years' relevant experience preferred, or Bachelor's degree required with 10+ years' relevant experience.
- Professional certifications (e.g. FINRA licences, CRCM, CAMS or equivalent) strongly preferred.
- Significant experience in Compliance Advisory, Legal or Regulatory roles within FINRA-regulated broker-dealers.
- Demonstrated knowledge of U.S. securities regulations (SEC, FINRA rules) and the 15a-6 broker-dealer framework and cross-border rules.
- Experience supporting complex transactions, new business activity, and regulatory risk assessments in a global financial institution.
I am good at: - Applying strong technical knowledge of securities regulation, broker-dealer compliance, information barriers and conflicts management frameworks across multi-jurisdictional contexts.
- Analysing complex scenarios and providing clear, risk-based guidance in time-sensitive, high-stakes situations.
- Prioritising and multi-tasking effectively in a fast-paced environment.
- Engaging business stakeholders and senior leaders with credibility, influence and a commercially-aware mindset.
- Communicating clearly in writing and verbally, including policy drafting and executive reporting.
- Building collaborative, solutions-oriented relationships across global teams.
- Operating with integrity, professionalism, independence, accountability and strong attention to detail.
- Staying adaptable and resilient in a dynamic regulatory and business environment, working independently while contributing to a strong team.
What's in it for me? As part of our collaborative & agile culture, our working week is 4 days in the office and one day remote. We believe that being together enables us to live our values and support our clients and communities in an extraordinary way.
