Job Description

We are seeking an experienced Compliance Officer with a strong background in financial services, specifically within broker-dealer operations, US capital markets, and FINRA regulatory oversight. This role is critical in ensuring compliance with the SEC and FINRA regulations and supporting the firm's regulatory initiatives.

Responsibilities

• Support regular compliance testing and monitoring of policies and procedures
• Prepare written policies and procedures and support remediation efforts
• Assist in rule reviews of all U.S. options and equities exchanges
• Assist in ongoing compliance training
• Ensure all required regulatory filings are completed
• Assist in connection with periodic testing, on-site regulatory examinations and ad-hoc inquiries
• Work proactively to identify potential problems & compliance issues
• Report to and work closely with the company's Chief Compliance Officer

Requirements

• 4+ years of Compliance experience with a Broker-Dealer
• Bachelor's Degree in a related field
• Familiarity with SRO rules and regulations, regulatory filings, compliance technology platforms, and risk management frameworks
• Experience identifying compliance issues and operational risk concepts
• Strong understanding of SEC, FINRA and U.S. options and equity exchange rules
• Series 7 and 63 registrations

Benefits

• No benefits