Broker Dealer | Senior Compliance Officer

  • Location: New York, NY
  • Type: Perm (Contingency)
  • Job #34733
  • Salary: $120,000

Position Overview – Broker Dealer | Senior Compliance Officer
As a Senior Compliance Officer in Broker Dealer, you will play a pivotal role in ensuring regulatory compliance and ethical standards within our client's company. Your responsibilities will include reviewing transactions, conducting compliance reviews, and supporting various aspects of the compliance program.

Compensation: $120,000.00 – $150,000.00 + bonus
Location: New York City

Responsibilities as the Senior Compliance Officer include:

  • Reviewing new transactions for potential conflicts of interest and providing guidance on relevant rules and regulations
  • Conducting quarterly transaction reviews, including fee benchmarking and transaction memos
  • Assisting third-party consultants with annual reviews of the broker-dealer and regulatory examination support
  • Supporting compliance monitoring and electronic communications surveillance programs, including violation escalation and remediation
  • Participating in the development and execution of the annual compliance testing plan
  • Managing reporting and filing obligations with regulatory bodies at state, federal, and foreign levels to maintain operating licenses
  • Conducting AML/KYC reviews of new third-party customers and trade counterparties
  • Acting as the lead point of contact for external KYC requests from various broker-dealer relationships
  • Collaborating with the Technology team to optimize compliance processes
  • Assisting in developing and administering annual compliance training for business professionals

Qualifications for the Senior Compliance Officer include:

  • 5+ years of legal and/or compliance experience at a broker-dealer, asset manager, fund distributor, or financial institution
  • Experience with Surveillance, Conflicts of Interest, and Anti-Money Laundering
  • Strong technology skills and the ability to learn various new platforms
  • Understanding of FINRA and SEC Rules
  • Strong relationship management skills
  • Ability to prioritize and manage multiple agendas effectively
  • High level of integrity, confidentiality, and judgment

Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.

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Job ID: 34733