Senior Compliance Professional for Financial Services Firm

2 weeks ago


New York, New York, United States AJ Consultancy Full time

We are seeking a Senior Compliance Professional to join our team at AJ Consultancy.

Job Responsibilities

As a key member of our compliance team, the successful candidate will be responsible for leading our compliance program, ensuring adherence to regulatory requirements and best practices in compliance management.

Key responsibilities include establishing and maintaining effective standards and procedures for identifying, preventing, detecting, and remediating regulatory issues at our tech-enabled broker-dealer. The ideal candidate will have strong project management, organizational, and communication skills, with the ability to work independently and handle multiple projects simultaneously.

Requirements

  • Series 7, 14, and 24 required (Series 4 optional)
  • Minimum 5 years of experience working in a senior compliance role (CCO or similar) within a financial services firm supporting an electronic broker-dealer
  • Strong understanding of regulatory and self-regulatory agencies' rules and regulations (specifically FINRA and SEC) with best practices in compliance management
  • Familiarity with equities, options, and fixed income; knowledge of relevant regulations as they apply to order routing, execution services, and electronic reporting
  • Ability to read and interpret regulations, and implement changes, particularly as it relates to broker-dealer compliance
  • Strong project management, organizational, and communication skills with the ability to work independently, handle multiple projects, and present clear recommendations to business stakeholders
  • Experience in building a good corporate culture and leading by example.

The salary range for this position is $160,000-$220,000 per annum, commensurate with experience.



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