Flex Employee Services
Flex Employee Services provided pay range
This range is provided by Flex Employee Services. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range
$125.00/hr - $150.00/hr Direct message the job poster from Flex Employee Services Are you ready for the next step in your career? Flex Employee Services
USA, LLC
is here to support you along your journey. We are actively seeking talented individuals to fill the following opportunity. If this sounds like you (or someone you know), we’d love to connect! About the Job Title:
Senior Compliance Officer Term:
Contract Location:
New York, NY (on‑site) Referral Bonus : $500 Qualifications 7–10+ years in U.S. broker‑dealer compliance or assurance, with SEC/FINRA exposure across reporting, exams, and supervisory controls. FINRA Series 7, 14, 27, or 27 preferred Hands‑on experience with FINRA Gateway, CAT/CAIS, EBS/LOPR, short‑interest filings, AuditBoard/PolicyHub/SharePoint, and workflow trackers (e.g., JIRA). Strong grasp of FINRA Rules 3110/3120/3130/3310, SEC 17a‑3/17a‑4, and interfaces with 15c3‑1 / 15c3‑3 in Finance/Operations contexts. Demonstrated exam management (mock exams, evidence packs, findings tracking, remediation plans). Excellent writing, critical thinking, stakeholder management, and project management skills. Experience in Finance, Treasury/Operations coverage (e.g., cash movements, sweeps, funding, custody interfaces). Core competencies Regulatory judgement: translates rules into practical, auditable controls. Program management turns obligations into plans with owners, milestones, and artifacts. Communication: crisp writing (policies, memos, exam responses) and calm, credible regulator engagement. Data & evidence: disciplined approach to documentation, retention, and issue closure. Ready to take the next step? Click
"Interested"
to kickstart your journey toward a rewarding career! Seniority level
Mid‑Senior level Employment type
Contract Job function
Other Industries
Technology, Information and Media Referrals increase your chances of interviewing at Flex Employee Services by 2x Get notified about new Compliance Officer jobs in
New York, NY .
#J-18808-Ljbffr
This range is provided by Flex Employee Services. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range
$125.00/hr - $150.00/hr Direct message the job poster from Flex Employee Services Are you ready for the next step in your career? Flex Employee Services
USA, LLC
is here to support you along your journey. We are actively seeking talented individuals to fill the following opportunity. If this sounds like you (or someone you know), we’d love to connect! About the Job Title:
Senior Compliance Officer Term:
Contract Location:
New York, NY (on‑site) Referral Bonus : $500 Qualifications 7–10+ years in U.S. broker‑dealer compliance or assurance, with SEC/FINRA exposure across reporting, exams, and supervisory controls. FINRA Series 7, 14, 27, or 27 preferred Hands‑on experience with FINRA Gateway, CAT/CAIS, EBS/LOPR, short‑interest filings, AuditBoard/PolicyHub/SharePoint, and workflow trackers (e.g., JIRA). Strong grasp of FINRA Rules 3110/3120/3130/3310, SEC 17a‑3/17a‑4, and interfaces with 15c3‑1 / 15c3‑3 in Finance/Operations contexts. Demonstrated exam management (mock exams, evidence packs, findings tracking, remediation plans). Excellent writing, critical thinking, stakeholder management, and project management skills. Experience in Finance, Treasury/Operations coverage (e.g., cash movements, sweeps, funding, custody interfaces). Core competencies Regulatory judgement: translates rules into practical, auditable controls. Program management turns obligations into plans with owners, milestones, and artifacts. Communication: crisp writing (policies, memos, exam responses) and calm, credible regulator engagement. Data & evidence: disciplined approach to documentation, retention, and issue closure. Ready to take the next step? Click
"Interested"
to kickstart your journey toward a rewarding career! Seniority level
Mid‑Senior level Employment type
Contract Job function
Other Industries
Technology, Information and Media Referrals increase your chances of interviewing at Flex Employee Services by 2x Get notified about new Compliance Officer jobs in
New York, NY .
#J-18808-Ljbffr