Compliance Officer - Broker Dealer

Overview

We are seeking an experienced compliance professional to support the ongoing development, execution, and enhancement of a regulatory compliance program within a financial services organization. This individual will help ensure adherence to applicable securities regulations, internal policies, and supervisory requirements while partnering with business stakeholders to strengthen compliance controls and risk management practices.

• Support the administration and continuous improvement of the firm's compliance framework, including policies, procedures, and supervisory documentation.
• Assist with regulatory change management by monitoring industry developments and assessing potential impacts to the business.
• Conduct compliance reviews, testing, and monitoring activities designed to evaluate adherence to regulatory and internal requirements.
• Participate in internal reviews, examinations, and responses to regulatory requests.
• Help identify compliance risks and track remediation efforts through completion.
• Deliver compliance guidance and training to employees across the organization.
• Partner with business, operations, legal, and risk teams on compliance-related initiatives and projects.
• Assist in maintaining written supervisory procedures and other compliance documentation.
• Support the implementation of controls designed to mitigate regulatory and operational risk.
• Contribute to branch oversight, supervisory reviews, and other ongoing compliance activities as assigned.

• Strong understanding of securities industry regulations and regulatory expectations.
• Experience interpreting and applying regulatory requirements within a broker-dealer or wealth management environment.
• Excellent written and verbal communication skills.
• Strong analytical, organizational, and problem-solving abilities.
• Ability to manage multiple projects and deadlines simultaneously.
• Detail-oriented with a proactive and collaborative approach.
• Demonstrated ability to work independently while partnering effectively across teams.

• Bachelor's degree in Business, Finance, Accounting, or a related discipline.
• Approximately 5+ years of compliance experience within financial services.
• Experience supporting regulatory compliance programs for a broker-dealer, registered investment adviser, wealth management platform, or similar organization.
• Familiarity with clearing, custody, and securities operations environments.
• Prior involvement with regulatory examinations, audits, compliance testing, or supervisory programs.

• SIE
• Series 7
• Series 63 and/or 66
• Series 24 (or comparable supervisory registration)