Broker Dealer Compliance Officer

We're working with an established institutional broker-dealer that is seeking an experienced Compliance Officer to provide broad-based coverage across its trading and capital markets businesses.

This role is 5 days per week on-site in the New York office. They offer benefits that include lunch being provided daily and unlimited PTO alongside a competitive salary and bonus package.

• Develop and maintain compliance policies and procedures for institutional trading activities.
• Manage trading, operational and supervisory compliance matters.
• Oversee trade reporting requirements, including CAT, CAIS and Rule 606.
• Manage the firm's surveillance programme, control room and restricted-list processes.
• Support wall crossings, Rule 144 transactions, legal sales and best-execution oversight.
• Review electronic communications, marketing materials, employee trading, outside business activities and private securities transactions.
• Serve as a compliance liaison to trading desks and senior management.
• Coordinate regulatory examinations, inquiries and interactions with FINRA and the SEC.
• Review AML, KYC and CIP matters and complete client due-diligence questionnaires.
• Conduct branch and departmental audits and support new-client onboarding.
• Manage continuing education and registration-related requirements.
• Provide compliance support to affiliated entities where required.

• At least 3 years of broker-dealer compliance experience.
• Institutional broker-dealer or trading compliance experience strongly preferred.
• Active Series 7, 63 and 24 licences preferred; additional registrations may be required.
• Experience with CAT, CAIS and Rule 606 reporting.
• Strong understanding of SEC, FINRA and securities-industry regulations.
• Familiarity with regulatory systems such as CAT, TRACE, CRD, ACT Workstation and FINRA Gateway.
• Bachelor's degree required; an advanced degree is advantageous.

This opportunity would suit a hands-on compliance professional who enjoys working closely with the business and wants to broaden their exposure across institutional trading and capital markets.