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Junior Compliance Officer

  • Location

    New York

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    75,000 - 90,000

  • Contact:

    Connor Dueñas

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    about 1 month ago

  • Expiry date:


  • Startdate:


We have partnered with a New York-based broker-dealer who is looking for a compliance officer to build out their growing team. 

What you'll be doing:

  • Drafting written responses and exhibits in response to requests for information from various regulatory bodies such as the SEC, FINRA and from general inquiries and cyclical audits using SQL queries and personnel interviews;
  • Acting as a liaison on internal audits on compliance issues, regulatory inquiries, and external examinations of the broker-dealer;
  • Identifying, developing, and administering required compliance training to members of the Firm on an ad-hoc and   annual basis including the Annual Compliance Questionnaire and Annual Compliance Meeting and the Firm Element Annual Training Requirement;
  • Providing full lifecycle support of Policies and Procedures (identify, evaluate, improve and draft policies and procedures for current and proposed rules and regulatory developments applicable to the firm) to support the compliance program;
  • Ensuring compliance with regulatory reporting requirements for required reporting such as: The Trade Reporting and Compliance Engine (TRACE), the Order Audit Trail (OATs) Reporting, Consolidated Audit Trail (CAT) Reporting, the SEC Rule 606 Disclosure;

What they're looking for:

  • Bachelor’s degree required;
  • Strong interpersonal, analytical, and collaboration skills;
  • Experience in supporting and assisting a team in a fast-paced and deadline-driven environment;
  • Eagerness and ability to develop a strong sense of institutional and retail knowledge and expertise about the firm and its products to bring to bear on all tasks;
  • Proficiency in Microsoft Office: Word, Excel, Outlook, Access, PowerPoint, and Internet Explorer

For more information contact Connor Duenas at Hamlyn Williams at