Senior Compliance Officer - FINRA Series 14 licence required

About the role

Investec USA's Compliance Advisory function is based in our New York office and supports multiple business lines, with a primary focus on a registered broker-dealer. You'll be a key member of a compliance team, reporting directly to the Chief Compliance Officer, while working closely with colleagues globally to deliver consistent, commercially-aware advice across our international platform.

Responsibilities

• Provide day-to-day regulatory and policy advice to business lines, including a 15a-6 broker-dealer, specialist lending desks, and global affiliates with a focus on equity markets.
• Advise on U.S. securities regulations (SEC, FINRA) and broker-dealer obligations, including requirements applicable to 15a-6 cross-border activities.
• Act as a trusted advisor to senior stakeholders, delivering timely, practical guidance on complex and time-sensitive matters.
• Oversee and manage client onboarding and AML/KYC processes, including due diligence and documentation.
• Oversee and manage various record-keeping obligations of the Firm pertaining to business lines, supervision and employee oversight.
• Support the registration and licensing function.
• Assist with overseeing and managing the AML program of the Firm.
• Oversee Personal Account dealings and other regulated activities of the Firm's employees.
• Assist with managing various internal and external audits of the Firm, ensuring readiness and remediation of findings.
• Identify, assess, and prioritize regulatory and compliance risks across covered business lines.
• Regularly update a well-established compliance program, including policies, procedures, and controls aligned to U.S. regulatory requirements and global, parent-company standards.
• Support new business initiatives, transactions, and product approvals from a compliance perspective.
• Provide guidance and ensure adherence to market conduct, conflicts clearance and information barrier requirements across all relevant activities.
• Coordinate compliance issue tracking, escalation, and remediation, ensuring appropriate governance and documentation.
• Deliver management reporting on compliance risks, themes, and emerging regulatory developments.
• Assist the Firm's management with regulatory inquiries, examinations, and responses.
• Maintain strong awareness of evolving regulatory expectations and industry practices.
• Aid in developing and delivering targeted compliance training to business stakeholders.
• Draft and maintain policies and procedures consistent with U.S. regulatory requirements and global standards.
• Promote a strong culture of compliance and conduct across the organisation.
• Partner with specialist teams including Legal, Compliance Advisory, Control Room, Surveillance, IT, Operations, Research and third-party Compliance vendors.
• Collaborate with global Compliance colleagues (London, Johannesburg, Mumbai, etc.) to ensure consistency in approach and handling of cross-border matters.
• Provide leadership, oversight, and mentorship to the Compliance Associate, fostering strong performance, development, and team effectiveness.
• Manage and develop junior team resources as part of the broader remit, with direct responsibility for the Compliance Associate.

Requirements

• FINRA Series 14 licence required; eligibility to obtain FINRA Series 24 licence is a plus.
• Master's degree (Compliance, Risk Management, Business or related field) with 7+ years' relevant experience preferred, or Bachelor's degree required with 10+ years' relevant experience.
• Professional certifications (e.g. FINRA licences, CRCM, CAMS or equivalent) strongly preferred.
• Significant experience in Compliance Advisory, Legal or Regulatory roles within FINRA-regulated broker-dealers.
• Demonstrated knowledge of U.S. securities regulations (SEC, FINRA rules) and the 15a-6 broker-dealer framework and cross-border rules.
• Experience supporting complex transactions, new business activity, and regulatory risk assessments in a global financial institution.

Qualifications

• I am good at:
• - Applying strong technical knowledge of securities regulation, broker-dealer compliance, information barriers and conflicts management frameworks across multi-jurisdictional contexts.
• - Analysing complex scenarios and providing clear, risk-based guidance in time-sensitive, high-stakes situations.
• - Prioritising and multi-tasking effectively in a fast-paced environment.
• - Engaging business stakeholders and senior leaders with credibility, influence and a commercially-aware mindset.
• - Communicating clearly in writing and verbally, including policy drafting and executive reporting.
• - Building collaborative, solutions-oriented relationships across global teams.
• - Operating with integrity, professionalism, independence, accountability and strong attention to detail.
• - Staying adaptable and resilient in a dynamic regulatory and business environment, working independently while contributing to a strong team.

Skills

• - Strong technical knowledge of securities regulation, broker-dealer compliance, information barriers and conflicts management frameworks across multi-jurisdictional contexts.
• - Ability to analyse complex scenarios and provide clear, risk-based guidance in time-sensitive, high-stakes situations.
• - Strong organisational skills and ability to prioritise and multi-task effectively in a fast-paced environment.
• - Excellent communication skills, both written and verbal, including policy drafting and executive reporting.
• - Strong interpersonal skills, able to engage business stakeholders and senior leaders with credibility and influence.
• - Ability to build collaborative, solutions-oriented relationships across global teams.
• - Strong attention to detail and ability to operate with integrity, professionalism, independence, accountability.
• - Adaptability and resilience in a dynamic regulatory and business environment, working independently while contributing to a strong team.

Benefits

At Investec, you will be part of a collaborative and creative culture where we encourage and are committed to sustainability across our global business. You will share in our purpose of creating enduring worth and together, we'll achieve things tomorrow that hardly seem possible today.

We offer a range of wellbeing benefits to make our people feel healthier, balanced and more fulfilled in their lives inside and outside of work. You will learn more about the U.S. benefits offering during the candidacy process.

Embedded in our culture is a sense of belonging and inclusion. At Investec we want everyone to find it easy to be themselves, and to feel they belong. It's a responsibility we all share and is integral to our purpose and values as an organisation. We believe that innovation thrives when everyone feels respected, included, and empowered to contribute.

Pay

$175,000

Schedule

4 days in the office and one day remote