Senior Compliance Officer

New York City | Hybrid | $175,000-225,000 Base Salary

About the role

Our client, a highly regarded financial services organization, is seeking a Senior Compliance Officer to step into a visible advisory role supporting institutional equities, foreign sales, and broker-dealer business activities. This is an opportunity to work directly with senior leadership, influence key business decisions, and play a meaningful role in a complex regulatory environment.

Responsibilities

• Provide compliance advisory support to business leaders and senior management
• Advise on regulatory requirements, compliance risk management, and governance matters
• Support institutional equities, foreign sales, and capital markets business activities
• Conduct compliance risk assessments and oversee ongoing monitoring efforts
• Manage onboarding, due diligence, and regulatory review processes
• Support regulatory examinations, audits, and remediation initiatives
• Maintain and enhance compliance policies, procedures, and controls
• Review new business initiatives and provide practical compliance guidance
• Prepare reporting and present compliance updates to senior leadership
• Promote a strong culture of compliance and mentor junior team members

Requirements

• 7+ years of compliance, legal, risk, or regulatory experience within financial services
• Strong institutional equities, foreign sales, and broker-dealer compliance experience
• Deep knowledge of securities regulations and regulatory risk management
• Experience advising business stakeholders on complex compliance matters
• Background supporting regulatory examinations, audits, and compliance programs
• FINRA Series 14 and Series 24 licenses required
• Strong communication, leadership, and stakeholder management skills

Benefits

• High-impact role with significant exposure to senior leadership
• Broad regulatory and advisory responsibilities across multiple business lines
• Opportunity to influence strategy, governance, and risk management decisions
• Collaborative environment with strong visibility and growth potential
• Hybrid work arrangement

Pay

$175,000-225,000 Base Salary

Schedule

Hybrid