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VP Broker Dealer Advisory Compliance

  • Location

    New York

  • Sector:

    Financial Services and Banking

  • Job type:


  • Contact:

    Thomas Byrne

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:

    VP Broker Dealer Advisory Compliance

  • Published:

    6 months ago

  • Expiry date:


  • Startdate:

    February 2022

We've partnered exclusively with an international broker dealer who are looking for an experienced compliance advisory person to join their growing team in Midtown.

This will be a hybrid on-site position based in New York and fully remote working is not permissible for this position.

What you'll be doing:

  • Working closely with senior leadership to support and administer all compliance and regulatory tasks of the equity and fixed income sales, trading and capital markets business
  • Generalist  compliance support on processes related to registration, continuing education, personal trading, and conflicts of interest.
  • You will lead projects or design processes with significant business impact and your input will be valued on development such as order management systems and surveillance tools, regulatory reporting, tactical and strategic plans for compliance to support business initiatives.

What they're looking for:

  • 7+ years of experience within compliance advisory, coverage of equities & fixed income is the gold standard and equities experience is required
  • Bachelors degree level educated 
  • JD and MBA are beneficial but not required
  • Series 7 will be required within the first year of service but not needed on start date

This will be a 2-3 stage interview process and they're looking to schedule first round interviews ideally the first week of January 2022.

For more information contact Thomas Byrne at Hamlyn WIlliams at