Our Client, a leading broker dealer firm, is looking for a Compliance Officer to join their team. This firm provides traders with cutting-edge technology, offering lightning-fast direct access to equity markets through proprietary software and API connectivity. Their streamlined and efficient operation delivers comprehensive summary reporting alongside top-notch technology and service. This is a hybrid role that will report directly to the CCO.
- Assist in delivering expert guidance to broker dealers on matters related to FINRA, SEC, and/or state regulatory requirements, as well as regulatory best practices.
- Can work to improve the Compliance Program by maintaining and testing relevant policies and procedures
- Able to both identify and react to changes in the regulatory field that impact broker/dealer
- Execute all parts of broker-dealer compliance functions
- 3-6 years' experience in Broker/dealer-related and Compliance Officer roles
- Background in Trade Surveillance
- Series 7 and Series 24 License
- Familiar with FINRA
If you are interested, don't wait to apply!