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Senior Compliance Officer - Broker Dealer

  • Location

    New York, NY OR Chicago, IL

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    140,000 - 155,000

  • Contact:

    Connor Dueñas

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    3 months ago

  • Expiry date:


  • Startdate:


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

What you'll be doing:

  • On-board institutional clients and counterparties, including KYC and annual account maintenance.
  • Assist with the draft and maintenance of institutional client policies and account disclosures.
  • Maintain and update the Firm’s database of existing institutional clients and prospective clients.
  • Manage FINRA CRD, including the Firm’s BD license, individual U4 registrations, and exchange memberships.
  • Perform daily and routine surveillance reviews involving the Firm’s trading activity and regulatory requirements.
  • Work with Trading and Development to ensure the Firm’s compliance report suite is current and accurate.
  • Work closely with the Firm’s Operations and Finance Teams to streamline processes and assist with complex projects, when required.
  • Assist with the maintenance and expansion of the Firm’s Written Supervisory Procedures and related records and surveillance.  
  • Review existing compliance practices against regulatory requirements and industry best practices. 

What they're looking for:

  • 2-5 years of relevant work experience with a trading firm, regulator, or exchange
  • Experience with the compliance administration of an institutional client business
  • Written and verbal experience facing institutional clients
  • Bachelor’s degree in relevant field
  • Exceptional written and verbal communication skills
  • Basic knowledge of SEC, FINRA, CFTC, SRO rules and regulations
  • Outstanding organizational skills and strong attention to detail in a fast-paced environment
  • Ability to work and succeed independently as well as in a team environment
  • Experience with Microsoft Office products
  • Series 7 (or ability to obtain within 90 days of employment)

For more information contact Connor Duenas at Hamlyn Williams at