Compliance Officer

Seeking a seasoned regulatory and operations professional to help establish robust compliance infrastructure.

This role requires extensive knowledge of financial industry regulations and operational frameworks.

Key Responsibilities

• Design, implement, and maintain comprehensive compliance policies, procedures, and training programs.
• Manage regulatory relationships, examinations, and all required filings with FINRA, SEC, and state regulators.
• Oversee AML/BSA program including transaction monitoring, SAR/CTR reporting, and sanctions screening.
• Review and approve marketing materials, customer communications, and new business initiatives.

Requirements:

• Minimum 6+ years compliance experience at FINRA member firms, with at least 3 years in supervisory role.
• Must maintain active FINRA Series 7, 24, and 63/66 registrations in good standing.
• Experience with fixed-income treasuries, corporate debt, and MSRB regulations.
• Deep understanding of SEC/FINRA regulations, including Regulation Best Interest and Form CRS.
• Demonstrated experience with regulatory examinations, FINRA Gateway, and audit management.
• Working knowledge of AML/BSA program requirements, books and records (Rules 17a-3/17a-4), and FOCUS reporting.
• Series 14, 27, and/or 4 registrations strongly preferred.
• Clean U4/CRD record required.