JCW Group
AVP Compliance Officer
Our client, a broker‑dealer, is looking for an AVP Compliance Officer to support its compliance program across equity and fixed income sales and trading, capital markets, and research distribution. This role is ideal for a professional with a strong foundation in broker‑dealer compliance who’s looking to grow within a global financial institution.
Key Responsibilities
Support implementation and maintenance of compliance policies and procedures in line with SEC and FINRA regulations.
Conduct surveillance of trading activity, including reviews of electronic communications, voice recordings, and trade blotters.
Assist in research distribution reviews (including third‑party and issuer‑paid).
Help prepare regulatory filings and responses to FINRA and SEC inquiries.
Review capital markets transactions for compliance with Reg M and FINRA Rules 2241/2242.
Support KYC/AML onboarding for institutional clients and counterparties.
Assist with compliance training, monitoring, and recordkeeping (e.g., restricted lists, OBAs, personal trading).
Collaborate with global compliance colleagues to align with cross‑border policies and standards.
Qualifications
4+ years’ experience in broker‑dealer compliance covering sales & trading and capital markets.
Solid understanding of SEC, FINRA, and Federal Reserve frameworks.
Familiarity with Reg M, Reg AC, FINRA 2210, 2241, 2242, and related requirements.
Excellent communication, analytical, and organizational skills.
Bachelor’s degree required; Series 7, 24, or 14 preferred.
Team‑oriented, proactive, and detail‑focused with high integrity and accountability.
Seniority Level Associate
Employment Type Full‑time
Job Function Finance
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Key Responsibilities
Support implementation and maintenance of compliance policies and procedures in line with SEC and FINRA regulations.
Conduct surveillance of trading activity, including reviews of electronic communications, voice recordings, and trade blotters.
Assist in research distribution reviews (including third‑party and issuer‑paid).
Help prepare regulatory filings and responses to FINRA and SEC inquiries.
Review capital markets transactions for compliance with Reg M and FINRA Rules 2241/2242.
Support KYC/AML onboarding for institutional clients and counterparties.
Assist with compliance training, monitoring, and recordkeeping (e.g., restricted lists, OBAs, personal trading).
Collaborate with global compliance colleagues to align with cross‑border policies and standards.
Qualifications
4+ years’ experience in broker‑dealer compliance covering sales & trading and capital markets.
Solid understanding of SEC, FINRA, and Federal Reserve frameworks.
Familiarity with Reg M, Reg AC, FINRA 2210, 2241, 2242, and related requirements.
Excellent communication, analytical, and organizational skills.
Bachelor’s degree required; Series 7, 24, or 14 preferred.
Team‑oriented, proactive, and detail‑focused with high integrity and accountability.
Seniority Level Associate
Employment Type Full‑time
Job Function Finance
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