Senior Compliance Officer

Overview

• Lead compliance initiatives for a dynamic financial services firm, ensuring adherence to regulatory standards and operational excellence.
• Collaborate with trading desks and sales teams to provide real-time compliance guidance and support.
• Oversee regulatory reviews, trade reporting, and surveillance activities to maintain compliance integrity.
• Act as a liaison with regulatory agencies, managing reviews and correspondence effectively.
• Develop and refine supervisory procedures to align with industry regulations and best practices.
• Provide leadership and mentorship within the compliance department, fostering a culture of accountability.
• Ensure compliance with NYSE, FINRA, SEC, and other regulatory standards through proactive oversight.
• Support hybrid work arrangements, balancing in-office and remote compliance responsibilities seamlessly.

Key Responsibilities & Duties

• Review and update Written Supervisory Procedures to ensure regulatory compliance and operational efficiency.
• Conduct surveillance of trading floor activities, including equities and FICC operations.
• Provide real-time compliance guidance and interpretation of trading and sales rules.
• Manage compliance tasks and assign responsibilities within the department effectively.
• Assist with manual trade reporting and compliance reviews across multiple departments.
• Serve as a regulatory liaison, ensuring completion of external agency reviews and responses.
• Approve personal trade requests and maintain watch and restricted lists for employees.
• Review daily T+1 reports for trading, settlement, or system issues, ensuring regulatory compliance.

Job Requirements

• Bachelor’s degree in a relevant discipline; advanced degree preferred.
• Minimum of 10 years of industry experience; regulatory experience strongly preferred.
• Extensive knowledge of trade reporting requirements and regulatory standards.
• Strong analytical, organizational, and problem-solving skills with multitasking ability.
• Exceptional written and verbal communication skills; skilled in interacting with senior management.
• Current SIE and Series 7 certifications required.
• Collaborative team player with independent working capabilities and attention to detail.
• Hands-on approach with a willingness to contribute wherever needed.