VP Compliance Officer - Broker Dealer
Job in
New York City, Richmond County, New York, 10261, USA
Listed on 2025-12-01
Listing for:
JCW Group
Full Time
position Listed on 2025-12-01
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Services
Job Description & How to Apply Below
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Our client, a broker-dealer is seeking a Senior Compliance Officer to join its U.S. compliance team. The firm provides equity and fixed income sales and trading, capital markets underwriting, and third-party research distribution to institutional clients, operating within a strong culture of compliance and integrity.
Key Responsibilities- Advise business lines on SEC/FINRA regulations governing sales & trading, capital markets, syndicate, and research activities.
- Oversee surveillance and supervisory controls, including information barriers, restricted lists, trade monitoring, and communications review.
- Review research, marketing, and communications under FINRA Rules 2210 and 2241/2242.
- Support regulatory inquiries, exams, and filings with FINRA, the SEC, and other authorities.
- Contribute to compliance risk assessments, testing, and enhancement of the monitoring program.
- Mentor junior team members and collaborate with global compliance counterparts on governance and cross-border initiatives.
- 7+ years’ broker-dealer compliance experience, covering equity/fixed income and capital markets.
- Strong knowledge of SEC and FINRA rules (including 2210, 2241/2242, Reg M, Reg AC).
- Experience with control room functions and BSA/AML oversight.
- Effective communicator with strong judgment and stakeholder management skills.
- Bachelor’s degree required;
Series 7, 24, or 14 preferred.
Mid‑Senior level
Employment typeFull‑time
Job functionFinance
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