Regulatory Compliance Professional
6 days ago
We're seeking a Senior HQ Compliance Advisor to join our Capital Markets and Operations Compliance team.
About the Role:
As a Senior HQ Compliance Advisor, you will play a critical role in providing regulatory guidance and support to our Fixed Income Trading and Operations areas. Your expertise will help maintain and evolve our compliance program, ensuring we remain at the forefront of industry standards.
Main Responsibilities:
- Develop and implement effective compliance strategies to mitigate risks and ensure regulatory compliance
- Analyze complex regulatory requirements and provide expert advice to internal stakeholders
- Investigate and resolve compliance issues, leveraging your analytical skills to identify solutions
- Collaborate with cross-functional teams to drive business initiatives and improve operational efficiency
Requirements:
This is an exceptional opportunity for a seasoned professional with a strong background in securities regulation and compliance. You must have:
- A Bachelor's degree in a related field (e.g., law, finance, or business)
- Series 7, 66, 24, and 52 licenses obtained within 12 months of hire if not already held
- At least 5 years of experience in the securities industry, with a minimum of 3 years in a compliance capacity
- Familiarity with relevant SEC, FINRA, and MSRB rules and regulations
What We Offer:
As a valued member of our team, you'll enjoy a competitive salary range of $96,471 - $164,262, depending on experience. Our comprehensive benefits package includes medical, dental, vision, and voluntary benefits, as well as a 401(k) retirement plan, health savings account, and flexible spending account. You'll also receive 15 days of vacation, sick time, personal days, and a paid day for volunteerism. Bonus eligibility and profit-sharing opportunities are available based on performance.
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