Senior Compliance Officer

Job Title:

Senior Compliance Officer

Job Description:

Job Summary:

or firm a leading self-clearing broker-dealer, is looking for a Deputy Chief

Compliance Officer to join the team. He/she will help with the delivery of expert advice to broker dealers

regarding FINRA, SEC and/or state regulatory requirements and regulatory best practices.

Responsibilities:

• The ideal candidate will be professional, analytical, and possess excellent written and verbal

communication skills. To prosper in this role, you should be fluent in risk management and

industry’s principles.

• Continually improve Compliance Program for relevant entity by utilizing applicable regulations,

risk management techniques, and business area knowledge to maintain and test relevant policies

and procedures that comprise the compliance program.

• Identify and react to changes in regulatory requirements impacting the broker/dealer. Develop

and maintain a broad knowledge and awareness of the investment industry and regulatory

and/or policy changes with potential impact on compliance monitoring or reporting.

• Finds, interprets and implements directives and/or regulation that impact(s) the current

compliance environment.

• Execute on our broker-dealer compliance functions.

• Work with the broker-dealer Operations and Trading teams to ensure regulatory compliance

with applicable rules and regulations.

• Complete the annual review of the broker-dealer’s compliance.

• Assist with our regulatory and annual compliance examinations.

• Monitor employee communications in accordance with the firm’s e-surveillance program.

• Coordinating with federal and state regulators.

• Planning, implementing and overseeing risk-related programs and assisting with compliance

questions and other needs

Requirements:

• Bachelor’s degree in law, finance, business management or a related field.

• 5 years proven experience in a compliance officer or equivalent role in broker/dealer or related

entities.

• Series 7 and Series 24 equivalent required.

• Experience using Trillium software for trade compliance management.

• Broker-Dealer experience in Operations or Finance.

• Knowledge of broker-dealer financial responsibility