Compliance Officer


Financial Services


New York, New York

Employment Type



A prestigious self-clearing Broker Dealer is looking for a Compliance Officer! This person will be tasked with handling multiple different projects under the Compliance umbrella, and will have exposure to the senior management of the firm.

Job Description:

Compensation : $150000 - $225000
Job ID : 9770

  • Drafting written responses and exhibits in response to requests for information from various regulatory bodies such as the SEC, FINRA and NYSE from general inquiries and cyclical audits using SQL queries and personnel interviews
  • Assisting with the day-to-day compliance responsibilities, including but not limited to administration of the reviews
    in the firm’s personal trading, outside business activities, electronic communications and exception reports
  • Acting as a liaison for internal audits on compliance issues, regulatory inquiries and external examinations of
    the broker-dealer

Job Requirements:

  • 1-6 years of financial services compliance experience, ideally in a banking or brokerage setting
  • Strong technical skills including Excel/VBA/SQL
  • Bachelor's Degree required



Disclosure:  The hourly rates and/or salaries listed may or may not reflect total compensation packages including bonus and fringe benefits, etc., nor are the advertisement(s) posted a guarantee of a certain compensation package for a position or bona fide offer of employment.  All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or protected veteran status and will not be discriminated against on the basis of disability.