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Compliance Officer

  • Location

    New York City

  • Sector:

    Financial Services and Banking

  • Job type:


  • Contact:

    Robert Soble

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:


  • Published:

    6 months ago

  • Expiry date:


  • Startdate:


We're working with a fintech start-up who are looking for a Compliance Officer to be an integral part of growing a broker-dealer from the ground up. The Compliance Officer would join hardworking team and be part of an entrepreneurial culture with cross team collaboration.


  • Assist in directing the firm regulatory priorities and compliance program
  • Conduct comprehensive internal compliance reviews
  • Conduct surveillance reviews of client trading
  • Respond to regulatory inquiries and audits
  • Draft and update: WSPs, AML, BCP
  • Design and administer periodic regulatory training
  • Maintain WebCRD filings
  • External communication with SROs, regulatory bodies, auditors
  • Internal communication and support for operation and development staff
  • Actively monitor regulatory developments
  • Research exchange rules, analyze rule interpretations


  • Experience working in compliance at a clearing firm or regulator
  • Proactive, self-starter -- able to work well under pressure
  • Effective communicator -- able to interact well with different teams and personalities
  • Exceptional writing skills
  • Experience with regulatory surveillance
  • Experience with AML
  • Background working in or subject to rules of:  DTC, OCC, SEC, FINRA
  • Series 7 and 63 (within the first 2 months of joining)
  • 3+ years related experience

Helpful, but not required

  • T-SQL + .NET(C#) + Microsoft Azure Stack
  • Series 24

For more information, please contact Robby Soble at Hamlyn Williams at or schedule a phone call through this link: