Compliance Advisory Officer
Hybrid | New York City, NY
Base Salary: $175,000 - $225,000 + Bonus
About the Opportunity
A growing global financial services firm is seeking a Compliance Advisory Officer to join its U.S. Compliance team. This individual will serve as a trusted advisor to business stakeholders, providing regulatory guidance across a FINRA-regulated broker-dealer platform and supporting a broad range of capital markets and cross-border activities.
This is a highly visible role offering regular interaction with senior leadership, involvement in strategic business initiatives, and the opportunity to contribute to an established compliance program within a dynamic international environment.
Key Responsibilities
- Provide day-to-day compliance advisory support to broker-dealer and capital markets business lines.
- Interpret and advise on applicable SEC and FINRA regulations, including cross-border securities activities.
- Partner with business stakeholders to identify, assess, and mitigate regulatory and compliance risks.
- Support new products, business initiatives, transactions, and strategic projects from a compliance perspective.
- Oversee AML/KYC processes, customer due diligence, and related compliance controls.
- Maintain oversight of books and records requirements, employee compliance monitoring, and regulatory obligations.
- Support licensing and registration activities.
- Assist with administration and enhancement of the firm's AML program.
- Oversee personal trading surveillance and employee compliance monitoring processes.
- Coordinate regulatory examinations, audits, inquiries, and remediation efforts.
- Draft, review, and enhance compliance policies, procedures, and controls.
- Provide guidance on information barriers, conflicts management, and market conduct requirements.
- Monitor regulatory developments and communicate impacts to relevant stakeholders.
- Deliver compliance training and regulatory awareness initiatives.
- Prepare management reporting related to compliance risks, trends, and regulatory developments.
- Collaborate with Legal, Risk, Operations, Technology, Surveillance, and other control functions.
- Support and mentor junior compliance team members as needed.
Qualifications
- FINRA Series 14 or Series 24 license required.
- Strong compliance advisory experience within a FINRA-regulated broker-dealer, investment banking, capital markets, or related financial services environment.
- Demonstrated knowledge of SEC and FINRA regulations.
- Experience supporting securities, institutional brokerage, capital markets, or cross-border business activities.
- Knowledge of AML/KYC requirements, employee compliance programs, conflicts management, and regulatory risk frameworks.
- Experience managing regulatory examinations, audits, and compliance oversight activities.
- Professional certifications such as CAMS, CRCM, or similar credentials are a plus.
- Ability to effectively communicate and partner with senior business and control function stakeholders.
FAQs
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