Job Description
Job Description
Now Hiring: Senior Compliance Officer | Securities Industry
Location: Arlington, Virgina - New York City - Chicago
Type: Full-Time
Compensation: Competitive base salary + quarterly bonus + full benefits package
About the Role
Our client, a leading firm in the securities industry, is seeking an experienced Senior Compliance Officer with 8+ years of regulatory and compliance experience . This role is ideal for a compliance professional looking to take on a senior leadership position within a fast-paced, collaborative environment.
Key Responsibilities:
- Partner with the Chief Compliance Officer to enhance and maintain the firm’s compliance program.
- Lead and manage firm-wide compliance projects and cross-functional initiatives.
- Develop, maintain, and update departmental standard operating procedures.
- Conduct internal investigations into compliance issues and ensure timely resolution.
- Perform regulatory research, draft memorandums, and provide actionable guidance to internal stakeholders.
- Prepare clear reports identifying risks, findings, and recommendations.
- Promote a strong culture of compliance throughout the organization.
- Stay informed on evolving industry regulations and best practices.
Qualifications:
- Bachelor’s degree in Business, Law, Finance, Economics, or a related field.
- 8–10 years of compliance or regulatory experience within the securities industry.
- Minimum of 3 years in a supervisory or managerial role.
- FINRA SIE, Series 7, and Series 24 licenses preferred.
- Recognized compliance certification preferred.
- Strong understanding of consumer protection regulations and marketing guidelines.
- Excellent communication, critical thinking, and project management skills.
Job Tags
Full time, Immediate start,