Compliance Officer

  • $120-190k
  • New York, NY, USA
  • Permanent, Full time
  • Green Key Resources
  • 19 Sep 16

Job Description:

  • Measure regulatory/compliance controls related to areas of exposure
  • Advance Compliance policies and procedures
  • Work with global colleagues in developing standards for international activity
  • Assist in the preparation of Compliance accounts
  • Classify regulatory trends and developments, guiding business staff as to how this may impact their current activities
  • Liaise with supervisors to implement any required changes to current practice
  • Partake in internal investigations, assisting in responding to regulatory inquiries, and synchronizing internal and external audits and inspections


  • Bachelor’s Degree required; JD or MBA a plus
  • 5+ years of relevant compliance experience, preferably at a major global securities firm
  • Experience in providing regulatory or compliance advice in domestic and international markets essential
  • Excellent oral and written communication skills
  • Ability to support complex regulatory/compliance decisions in a fast-paced and high pressured environment
  • Ability to influence and demonstrate confidence when interfacing with salespersons and traders
  • Ability to effectively collaborate with multiple stakeholders