Senior Compliance Officer

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Non-disclosed
  • 22 Sep 16

Responsible for implementing all required policies and procedures regarding all business activities and ensure that the firm comply with all FINRA and SEC rules and regulations by providing necessary advice, training and risk assessment pertaining to all of the firm’s broker/dealer activities. This position will work closely with the CEO and interact with all associated persons at the Firm.


* Develop and maintain all relevant policies and procedures based upon regulatory requirements, industry practices and established internal controls, including Chinese Walls, AML, BCP, insider and personal account handling, and disclosures.

* Perform all daily, weekly, monthly and quarterly compliance reviews (including transaction reviews).

* Develop and implement necessary risk assessment reviews including: automated surveillance/monitoring programs to review the firm's activities to remain in compliance with all aspects of the industry standards.

* Implement and maintain all mandated Anti-Money Laundering programs covering the Broker/Dealer activities.

* Actively participate in industry compliance organizations and training (i.e. FINRA trainings, Compliance/Product Trainings, etc.).

* Review trade blotters, advertising, sales literature and correspondence for internal/external registered representatives.

* Manage FINRA’s CRD System for the firm and registered representatives (including licensing, registration and filings U4/U5, etc.).

* Develop, deliver and manage annual compliance-related training (, regulatory, AML, etc.).

* Manage and respond to all regulatory inquiries, and act as the company liaison with regulators (i.e. FINRA and SEC).

* Stay up-to-date with SEC regulations and communicate any findings with our representatives and/or internal employees.

Job Requirements

* Current Series 7 and 24 qualifications required (Series 63 desired within the first 2 months of employment).

* Minimum of 5 years’ experience in securities compliance.

* Working knowledge of FINRA, SEC and State Securities rules and regulations.

* Excellent communication skills (written, verbal and listening).

* Ability to build partnerships and work well in teams and expand clients’ network.

* Can Identify, recommend and implement solutions for problems. Capable of making timely decisions and anticipating consequences.

* Ensure deliverable are always of a high quality.

* Strong attention to detail and organization skills.

* Strong organization skills.

* Detail oriented.