Broker Dealer Compliance Officer

We are seeking a Compliance Officer with a deep understanding of the broker dealer regulatory framework, including FINRA, SEC, and NFA rules. The successful candidate will be responsible for developing and implementing compliance policies and procedures for a US broker dealer business, ensuring all regulatory requirements are met. This role offers flexible working opportunities in either NYC or Miami, making it an ideal opportunity for those seeking geographical flexibility.

Key Responsibilities:

As a Compliance Officer for Broker Dealer, you will play a pivotal role in shaping the compliance landscape of our client's US broker dealer business. Your responsibilities will include developing robust compliance policies, conducting regular reviews, identifying potential risks, providing training to staff, liaising with various departments regarding internal group policies and issues. Your ability to analyze situations effectively will be crucial in resolving issues promptly. Your commitment to staying abreast of new or updated regulatory requirements will ensure that our client remains compliant at all times.

• Develop and implement compliance policies and procedures for the US broker dealer business based on regulatory requirements, industry practices, and established internal controls.
• Ensure all required documentation is properly provided to the regulatory authorities and maintained by the company.
• Conduct oversight, testing, and remediation in accordance with FINRA Rule 3012.
• Identify gaps or risk exposures in operations and implement necessary checks-and-balances and risk assessment reviews.
• Perform daily, weekly, monthly, quarterly, and annual compliance reviews.
• Provide training and advice to employees and management regarding applicable securities rules, regulations, and firm policies.
• Analyze situations effectively and apply experience and judgement to resolve issues in a timely manner.
• Identify any new or updated regulatory requirements that may lead to changed policies.

Key Requirements:

As a Compliance Officer for Broker Dealer, you bring a wealth of experience in compliance along with a thorough understanding of the broker dealer regulatory environment. Your ability to interface effectively with external constituents such as regulators will be invaluable in this role. You possess strong analytical skills which enable you to make sound judgements and decisions. Your ability to work with individuals at all levels of an organization is a testament to your interpersonal skills. You are a dedicated professional, committed to improving the productivity and profitability of the organization.

• Bachelor’s degree or equivalent work experience.
• 7+ years of compliance experience.
• Swap and/or Insurance experience preferred.
• FINRA Series 7 license required, Series 24 preferred.
• Thorough knowledge of broker dealer regulatory environment required, including FINRA, SEC, and NFA rules.
• Ability to work with individuals at all levels of an organization.
• Adept at interfacing with external constituents including regulators and other representatives.
• Strong analytical skills, sound judgment and decision-making skills.
  

What sets this company apart:

Our client is a leading player in the financial services industry, known for their commitment to excellence and integrity. They offer a supportive and inclusive work environment where every team member's contribution is valued. They believe in providing their employees with opportunities for growth and development, fostering a culture of continuous learning. Their flexible working options demonstrate their understanding of the importance of work-life balance.

What's next:

If interested in this position, please contact Daniela Garcia at +1 332 205 3839 or Daniela.Garcia@robertwalters.com