Broker Dealer Compliance Officer

Broker Dealer Compliance Officer Overview

• The Broker Dealer Compliance Officer will oversee licensing, registrations, and employee compliance functions within a dynamic financial services environment.
• Collaborate with compliance, legal, and HR teams to ensure regulatory adherence and operational efficiency.
• Administer FINRA, NFA, and state registration programs, including onboarding and continuing education requirements.
• Support employee compliance programs, including Personal Account Dealing, Outside Business Activities, and Gifts & Entertainment disclosures.
• Contribute to Central Compliance & Control Room activities, including information barrier monitoring and regulatory surveillance.
• Stay updated on regulatory developments and industry trends to ensure compliance excellence.
• Work in a hybrid environment, combining remote flexibility with in-office collaboration.
• Engage in professional development opportunities to enhance compliance expertise and career growth.

Broker Dealer Compliance Officer Key Responsibilities & Duties

• Administer and maintain employee licensing and registration programs with regulatory bodies such as FINRA and NFA.
• Prepare and submit regulatory documentation, including Forms U4, U5, and BR filings.
• Manage employee compliance programs, including trade preclearance, account disclosures, and policy violation investigations.
• Support Central Compliance & Control Room functions, including watch list administration and conflicts management.
• Monitor regulatory developments and participate in industry training and forums.
• Assist with policy updates and provide guidance on regulatory changes and best practices.
• Collaborate with internal teams to address regulatory inquiries, audits, and examinations.
• Contribute to special projects and initiatives to enhance compliance processes and controls.

Broker Dealer Compliance Officer Job Requirements

• Bachelor's degree in Business, Finance, Legal Studies, or a related field.
• Minimum of 2 years of experience in compliance, licensing, or regulatory affairs; 4 years preferred.
• Knowledge of FINRA, SEC, and NFA regulations and compliance platforms like FINRA Gateway.
• Familiarity with employee compliance programs, including PAD, OBA, and G&E disclosures.
• Strong organizational and analytical skills with the ability to manage multiple priorities.
• Preferred certifications: FINRA Series 7, 24, or 99, or ability to obtain them.
• Experience in regulatory surveillance, conflicts management, and information barrier monitoring is advantageous.
• Proficiency in collaborating with diverse teams and stakeholders across an organization.