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NYC Broker-Dealer Equity Compliance Officer

2 months ago

New York, United States Dawn Taylor Associates Full time

Our client, a prestigious Broker-Dealer, seeks a Compliance Officer for their midtown NYC office. This is a highly visible role reporting to the Chief Compliance Officer.


Responsibilities:

This is a hands-on role providing support to Equity Sales and Trading, Research and Investment Banking. Respond to internal compliance requests and external audits, interact with sales, traders, bankers, research and regulatory authorities. Liaise with international compliance teams.


Qualifications:

  • Bachelor’s Degree, MBA or JD preferred
  • 5-7+ years of U.S. broker-dealer compliance expertise monitoring equity sales, trading, research and investment banking
  • Series 7, and 63 required. Must take the Series 14 after being hired.
  • Knowledge of SRO and SEC regulations
  • Proven ability to deal with audits and regulatory examinations
  • Experience working in a fast-paced environment with ability to multi-task and work independently