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Broker / Dealer Compliance Officer

4 months ago

New York, United States Rockwood Search Full time

US Capital Markets division of a European based banks seeks a Senior Compliance Officer providing advisory and monitoring activities in support of Investment Banking, Equity Sales and Trading, 15a-6 Research distribution, and Equity Research coverage/production.


Responsibilities include:

  • Building and maintaining strong relationships with front office personnel and work proactively with senior business management to maintain, enhance, develop relevant compliance policies and procedures, including maintaining the firm’s policies and procedures;
  • Guarding reputational and regulatory risk for each business line and functioning as an escalation point for compliance issues and conflicts of interest;
  • Identify, track and coordinate regulatory changes regarding covered business units;
  • Managing internal controls, supervisory systems, and tailoring future processes as needed;
  • Engage with various regulators, risk management personnel, and business partners on various management, response, and internal/external audit needs;
  • Maintain employee and firm regulatory registrations, training, and ongoing monitoring;


Candidates must have:

  • Bachelor’s Degree required, MBA or JD helpful.
  • 5+ years of experience
  • Series 7, 63 required, Series 57, 79, or 24 helpful, but not required. Series 24 to be obtained at later date.
  • Extensive knowledge of SRO and SEC rules and regulations relating to equity sales and trading, investment banking, and research production and distribution.
  • Proven analytical skills, understanding and demonstrated product knowledge of broker-dealer, equity sales and trading, investment banking and research coverage and production practices.
  • Proven ability to multi-task, prioritize and organize time effectively in a fast-paced and constantly changing environment, driving projects to completion with minimal supervision.
  • A team member with problem-solving, solution development goals who values team success over individual goals.
  • Experience in dealing with examinations, audits, and inquiries from regulatory authorities.


Qualified candidates should send resumes to ws@rockwood-search.com . Please put your Name and “ B/D compliance Officer” in the subject line and attach your resume in Word or PDF document form. Also include contact information, salary requirements and any applicable information in the body of the email.