Senior Compliance Officer #2 to CCO
About
International financial services firm seeking a Senior Compliance Advisory Officer to support a FINRA-regulated broker-dealer and broader global business activities. This individual will serve as a key compliance partner to front-office and business stakeholders, providing practical regulatory guidance across U.S. securities laws, cross-border activities, AML/KYC, and broker-dealer compliance obligations. This role will require 5 days a week onsite presence in NYC.
Key Responsibilities
- Advise business leaders on SEC, FINRA, and broker-dealer regulatory requirements, including cross-border activities.
- Provide compliance support for new products, transactions, and business initiatives.
- Oversee AML/KYC, client onboarding, employee compliance, licensing, and recordkeeping programs.
- Manage compliance policies, procedures, risk assessments, and regulatory change initiatives.
- Coordinate regulatory examinations, audits, inquiries, and remediation efforts.
- Deliver compliance training, management reporting, and ongoing regulatory guidance.
- Partner closely with Legal, Operations, Surveillance, Technology, and global Compliance teams.
- Mentor and develop junior compliance professionals.
Qualifications
- 6+ years of compliance, legal, or regulatory advisory experience within a broker-dealer environment.
- Strong knowledge of SEC, FINRA, and broker-dealer regulations.
- Experience supporting cross-border business activities and complex regulatory matters.
- Background in compliance risk management, AML/KYC, regulatory examinations, and policy development.
- FINRA Series 14 (or willingness to obtain) strongly preferred.
- Excellent stakeholder management, communication, and analytical skills.
FAQs
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