Senior Compliance Officer
Our client, a highly regarded financial services organization, is seeking a Senior Compliance Officer to step into a visible advisory role supporting institutional equities, foreign sales, and broker-dealer business activities. This is an opportunity to work directly with senior leadership, influence key business decisions, and play a meaningful role in a complex regulatory environment.
Key Responsibilities
- Provide compliance advisory support to business leaders and senior management
- Advise on regulatory requirements, compliance risk management, and governance matters
- Support institutional equities, foreign sales, and capital markets business activities
- Conduct compliance risk assessments and oversee ongoing monitoring efforts
- Manage onboarding, due diligence, and regulatory review processes
- Support regulatory examinations, audits, and remediation initiatives
- Maintain and enhance compliance policies, procedures, and controls
- Review new business initiatives and provide practical compliance guidance
- Prepare reporting and present compliance updates to senior leadership
- Promote a strong culture of compliance and mentor junior team members
Qualifications
- 7+ years of compliance, legal, risk, or regulatory experience within financial services
- Strong institutional equities, foreign sales, and broker-dealer compliance experience
- Deep knowledge of securities regulations and regulatory risk management
- Experience advising business stakeholders on complex compliance matters
- Background supporting regulatory examinations, audits, and compliance programs
- FINRA Series 14 and Series 24 licenses required
- Strong communication, leadership, and stakeholder management skills
Why Consider This Opportunity?
- High-impact role with significant exposure to senior leadership
- Broad regulatory and advisory responsibilities across multiple business lines
- Opportunity to influence strategy, governance, and risk management decisions
- Collaborative environment with strong visibility and growth potential
- Hybrid work arrangement
If you're interested in learning more about this opportunity, please reach out for a confidential conversation.
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