Compliance Officer

The ideal candidate is a self-starter who brings strong analytical and communication skills, exceptional attention to detail, intellectual curiosity, and a genuine interest in regulatory compliance. We are looking for someone who is comfortable taking ownership, navigating multiple priorities, and operating in a dynamic and evolving environment.

This is an opportunity to gain broad exposure to broker-dealer compliance, take meaningful ownership of core compliance functions, and make an immediate impact within the Legal and Compliance department of a growing organization.

Responsibilities

Handling key FINRA registration and regulatory processes, including Firm Gateway administration, Form U4 and Form U5 filings, registration processing, miscellaneous regulatory filings, and monitoring of FINRA reports.
Administering employee compliance and personal trading activities, including reviews of outside investment accounts, trade pre-clearance requests, outside business activities, disclosures, and employee attestations.
Managing the day-to-day operation of compliance systems, effective administration, escalation, and resolution of compliance matters.
Conducting routine surveillance and monitoring of electronic communications
Supporting the review of marketing and communications materials for compliance with applicable regulatory requirements and firm policies.
Partnering with the Compliance Team to enhance the company’s compliance framework, including the implementation of policies and procedures as the business and regulatory environment evolves.
Participating in compliance oversight activities including, conducting branch office examinations, testing policies and procedures, and supporting compliance-related due diligence reviews.
Supporting strategic and ad hoc compliance initiatives at the direction of the Chief Compliance Officer and broader Legal and Compliance leadership.
Maintaining strong relationships across the organization, providing optimal compliance-related guidance and support to the business.

Qualifications

2-5 years + experience in a compliance role at a financial services firm with substantial knowledge of FINRA rules
Understanding of FINRA & SEC marketing/advertising rules, and the day-to-day compliance affairs of public and private funds a plus
Bachelor’s degree (required)
FINRA Series 7 and Series 24 licenses (required)
Exemplary oral, written, and interpersonal communication skills; ability to comfortably multi-task and meet deadlines
Strong technical skills, excellent organizational skills, and strong follow-through mind-set
Ability to work with colleagues to devise pragmatic and creative solutions, and to prioritize and focus on critical tasks that add value
A natural ability to develop relationships, internally and externally