Broker Dealer Compliance Officer

An esteemed financial institution is seeking a Broker-Dealer Compliance Officer for its New York team. In this role, you’ll help strengthen a robust compliance framework and shape key policies that uphold top regulatory standards. The firm offers comprehensive training, flexible work options, and an inclusive culture where your expertise is valued - an ideal environment to grow professionally while supporting the organization’s integrity.

Key Responsibilities:
As a Broker Dealer Compliance Officer, you will help ensure strict adherence to securities regulations by developing and maintaining effective compliance frameworks. You’ll collaborate across departments to provide guidance, conduct reviews, identify risks, and support education on regulatory requirements. Your ability to analyze complex situations with sound judgment will be key to reinforcing a culture of transparency, accountability, and operational integrity.
Develop and implement compliance policies and procedures for the US broker‑dealer business, ensuring alignment with regulatory standards and internal controls.

• Manage regulatory documentation, filings, and reporting with accuracy and timeliness while supporting oversight and remediation under FINRA Rule 3012.
• Identify risks through detailed reviews, audits, transaction monitoring, and surveillance programs, recommending corrective actions as needed.
• Provide training and clear guidance to employees and management on securities regulations and firm policies.
• Collaborate with Front Office, Compliance, Legal, and other teams to address policy updates, interpret new regulatory requirements, and resolve cross‑functional issues.

Key Requirements:
Your experience as a Broker Dealer Compliance Officer equips you with strong expertise in interpreting securities regulations and managing policies, documentation, audits, and risk assessments. You’re known for clear communication and effective collaboration across front office, legal, and compliance teams, ensuring shared understanding of regulatory duties. By combining technical knowledge with sound judgment and an approachable style, you help strengthen both operational integrity and a supportive, inclusive culture.

• Bachelor’s degree or equivalent experience, with at least three years of compliance work in financial services—ideally within a broker‑dealer environment.
• FINRA Series 7 required; Series 24 strongly preferred.
• Strong understanding of FINRA, SEC, and NFA regulatory frameworks and the ability to interpret and apply them accurately.
• Excellent communication and collaboration skills for working effectively with internal teams and external regulators.
• Proven analytical judgment, reliability, and ability to manage multiple priorities while maintaining attention to detail.

What sets this company apart:

• This organization distinguishes itself through its steadfast commitment to employee well-being and professional progression.

What's Next:
If interested in this position, please get in touch with Daniela Garcia at Daniela.Garcia@robertwalters.com