JCW Group
1 week ago Be among the first 25 applicants
Our client, a broker-dealer is seeking a Senior Compliance Officer to join its U.S. compliance team. The firm provides equity and fixed income sales and trading, capital markets underwriting, and third-party research distribution to institutional clients, operating within a strong culture of compliance and integrity.
Key Responsibilities
Advise business lines on SEC/FINRA regulations governing sales & trading, capital markets, syndicate, and research activities.
Oversee surveillance and supervisory controls, including information barriers, restricted lists, trade monitoring, and communications review.
Review research, marketing, and communications under FINRA Rules 2210 and 2241/2242.
Support regulatory inquiries, exams, and filings with FINRA, the SEC, and other authorities.
Contribute to compliance risk assessments, testing, and enhancement of the monitoring program.
Mentor junior team members and collaborate with global compliance counterparts on governance and cross-border initiatives.
Qualifications
7+ years’ broker-dealer compliance experience, covering equity/fixed income and capital markets.
Strong knowledge of SEC and FINRA rules (including 2210, 2241/2242, Reg M, Reg AC).
Experience with control room functions and BSA/AML oversight.
Effective communicator with strong judgment and stakeholder management skills.
Bachelor’s degree required; Series 7, 24, or 14 preferred.
Seniority level Mid‑Senior level
Employment type Full‑time
Job function Finance
Referrals increase your chances of interviewing at JCW Group by 2x
Get notified about new Vice President Compliance jobs in
New York, United States .
New York, NY $142,000.00–$185,000.00 2 weeks ago
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Our client, a broker-dealer is seeking a Senior Compliance Officer to join its U.S. compliance team. The firm provides equity and fixed income sales and trading, capital markets underwriting, and third-party research distribution to institutional clients, operating within a strong culture of compliance and integrity.
Key Responsibilities
Advise business lines on SEC/FINRA regulations governing sales & trading, capital markets, syndicate, and research activities.
Oversee surveillance and supervisory controls, including information barriers, restricted lists, trade monitoring, and communications review.
Review research, marketing, and communications under FINRA Rules 2210 and 2241/2242.
Support regulatory inquiries, exams, and filings with FINRA, the SEC, and other authorities.
Contribute to compliance risk assessments, testing, and enhancement of the monitoring program.
Mentor junior team members and collaborate with global compliance counterparts on governance and cross-border initiatives.
Qualifications
7+ years’ broker-dealer compliance experience, covering equity/fixed income and capital markets.
Strong knowledge of SEC and FINRA rules (including 2210, 2241/2242, Reg M, Reg AC).
Experience with control room functions and BSA/AML oversight.
Effective communicator with strong judgment and stakeholder management skills.
Bachelor’s degree required; Series 7, 24, or 14 preferred.
Seniority level Mid‑Senior level
Employment type Full‑time
Job function Finance
Referrals increase your chances of interviewing at JCW Group by 2x
Get notified about new Vice President Compliance jobs in
New York, United States .
New York, NY $142,000.00–$185,000.00 2 weeks ago
#J-18808-Ljbffr