A US based trading firm is seeking a strategic Compliance Officer to join its New York office. This is a high-impact generalist compliance advisory role, working closely with the front office and the Chief Compliance Officer (CCO) to ensure the firm conducts business in line with SEC, FINRA, federal and state regulations, internal policies, and industry best practices.
Key Qualifications:
• 3–10 years of advisory compliance experience at an investment adviser or broker-dealer; automated trading exposure a plus
• Strong knowledge of FINRA rules and SEC regulations
• Experience managing conflicts, including pre-deal checks, restricted lists, information barriers, wall crossings and code of ethics
• Background handling regulatory inquiries and monitoring regulatory developments
• Bachelor’s degree required; Series 7/24 licenses a plus
Exceptional communication, organizational skills, and the ability to work with moderate supervision are essential.
A highly competitive compensation package is on offer.
For a confidential discussion, please apply with your resume.
