Compliance team based in New York is looking for an experienced Dealer Compliance Officer to join their team. You will help in ensuring compliance with current/developing rules and regulations, maintaining and enhancing the compliance framework and program, and in corresponding with regulators. You will report into the Chief Compliance Officer, coordinating compliance coverage with affiliated entities, and on central Compliance practices and programs.
· Identify compliance risks associated with the business practices, products and services
· Help ensure that the business meets its regulatory requirements and mitigate compliance risks to avoid breaches, fines and regulatory sanctions
· Work closely with the business, Compliance and Legal teams, providing compliance requirements
· Helping to handle regulatory inquiries and inspections, including internal audits
· A minimum of 5-7 years of compliance experience with a broker-dealer or securities regulator
· Current Series 7 and 24 license
· Experience in liaising with financial regulators and the ability to handle regulatory inquiries and inspections