Compliance Officer – Broker-Dealer

Our client is seeking a Compliance Associate to join its boutique U.S. broker-dealer operation. This is a high-impact role within a small team focused on equity research distribution for institutional clients. As the principal compliance professional, you will be entrusted with shaping and refining the firm’s U.S. compliance program, working in close concert with senior leadership and gaining valuable exposure to international operations.

Key Responsibilities:
In the capacity of Compliance Associate – Broker-Dealer based in New York City, you will play an indispensable role in safeguarding the probity of the firm’s U.S. operations. Your remit will encompass serving as the primary point of contact for all matters pertaining to compliance within the broker-dealer entity, working collaboratively with legal counsel to interpret complex regulations and implement best practices throughout the organization. You will be responsible for ensuring that policies remain current with evolving FINRA and SEC requirements while overseeing critical regulatory filings such as Form BD and Form U4/U5. Your duties will further extend to managing regulator inquiries or audits with precision, conducting thorough internal reviews on communications and trading activity, delivering instructive training sessions on compliance topics, and ensuring all employees fulfil their certification obligations. Additionally, you will provide expert counsel on emerging regulations affecting equity research distribution whilst supporting coordination efforts with international offices. Success in this role demands scrupulous attention to detail, proactive engagement with both internal stakeholders and external regulators, as well as an unwavering commitment to fostering an ethical organizational culture.

• Act as the principal compliance officer for the U.S. broker-dealer entity, working in close partnership with the General Counsel to ensure full adherence to all regulatory obligations.
• Maintain, revise, and enhance compliance policies and procedures in strict alignment with FINRA, SEC, and other pertinent regulatory standards.
• Supervise all aspects of regulatory filings including Form BD, Form U4/U5 submissions, annual certifications, and any additional requisite documentation.
• Coordinate responses to FINRA/SEC inquiries, manage examinations and audits with diligence, and ensure prompt communication with regulatory authorities.
• Conduct meticulous internal reviews and ongoing surveillance of communications, personal trading activities, and other supervisory functions to uphold exemplary standards of compliance.
• Administer comprehensive training programs for staff members, oversee code of ethics certifications, and facilitate annual attestations to reinforce a culture of ethical conduct.
• Provide clear and authoritative guidance to business units regarding new regulatory developments while ensuring continuous conformity with applicable rules across all operations.
• Support cross-border compliance initiatives by liaising with colleagues in UK and South Africa offices as necessary to maintain global consistency.

Key Requirements:
To excel as a Compliance Associate – Broker-Dealer within this context, your professional background should reflect considerable experience navigating broker-dealer compliance matters within either established institutions or boutique consultancies. Your familiarity with key industry regulations—including those relevant to equity research distribution—will enable you to interpret new developments expeditiously and translate them into effective policy enhancements. You thrive in intimate team settings where collaboration is essential; your interpersonal acumen allows you to foster trust across departments while supporting collective objectives. A proven ability to manage multiple priorities concurrently ensures that no aspect is overlooked during audits or internal reviews. Your approach is characterized by empathy towards colleagues’ needs coupled with steadfast dedication to upholding ethical standards throughout every facet of your responsibilities.

• You possess 4–8 years of substantive experience in broker-dealer compliance or regulatory consulting within financial services environments.
• Your expertise encompasses FINRA rules (including those governing research distribution, such as Rule 2241), SEC guidelines, and general broker-dealer operational requirements.
• You have demonstrated effectiveness working within compact teams or smaller firm settings where adaptability and resourcefulness are paramount.
• Holding Series 7, 24, or 63/79 licenses is advantageous, though not obligatory; a willingness to pursue these qualifications is welcomed.
• Your communication skills are exemplary, enabling you to elucidate complex regulatory concepts clearly at all levels of the organization.
• You operate reliably with sound judgment even when working independently or under stringent deadlines.
• Direct experience engaging with regulators such as FINRA or the SEC is regarded as a valuable asset for this appointment.

What sets this company apart:

• This organization distinguishes itself through its unique combination of global reach paired with a boutique ethos in the United States market.

What's next:
If interested in this position, please contact Daniela Garcia at Daniela.Garcia@robertwalters.com