Senior Compliance Officer

Compliance team based in New York is looking for an experienced Dealer Compliance Officer to join their team. You will help in ensuring compliance with current/developing rules and regulations, maintaining and enhancing the compliance framework and program, and in corresponding with regulators. You will report into the Chief Compliance Officer, coordinating compliance coverage with affiliated entities, and on central Compliance practices and programs.

Responsibilities:

·  Identify compliance risks associated with the business practices, products and services

·  Help ensure that the business meets its regulatory requirements and mitigate compliance risks to avoid breaches, fines and regulatory sanctions

·  Work closely with the business, Compliance and Legal teams, providing compliance requirements

·  Helping to handle regulatory inquiries and inspections, including internal audits

Requirements:

·  A minimum of 5-7 years of compliance experience with a broker-dealer or securities regulator

·  Current Series 7 and 24 license

·  Experience in liaising with financial regulators and the ability to handle regulatory inquiries and inspections

Apply to this Job












How It Works

Connect.

Meet your dedicated recruiter in person to explore your experience and goals + identify opportunities that fit your skillset and expectations.

Intro call

Be prepared to discuss your background, career goals and expectations. If youre a fit for our open roles, well schedule an in-person meeting.

Meet & match

Meet your dedicated recruiter in person to explore your experience and goals + identify opportunities that fit your skillset and expectations.

Interview & place

Your Recruiter will work closely with you to submit your resume to open roles and work to secure interviews at top companies.

What our clients are saying about us

Brit + Co.
Ashton Kamphuis
Clarity is always extremely easy to get in contact with even with last minute requests.
Rover
Christine Cook
Clarity is awesome! Definitely the best staffing agency I've ever worked with. Highest quality candidates and the best communication
SYPartners
Tom Martin
Always have had great experiences, met strong candidates, and have built wonderful partnerships with the Clarity Team!
AKQA
Robyn Bynoe
Clarity Staffing has not only placed me in my current role, they have helped me place other candidates in roles across AKQA as our recruitment partner. Occasionally we need last minute temporary placements for our Reception desk, and Matt always brings in the best candidates.
Landor
Leonie Derrie
Every candidate that Clarity sends to Landor has been first-rate!

Find your

Next Step

Not sure what you’re looking for? We can still help!
Submit your resume and we’ll reach out if we have a great match.