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Capital Markets Compliance Officer

2 months ago

New York, New York, United States Wedbush Securities Full time
Job Summary

We are seeking a highly skilled and experienced Compliance Officer to join our Capital Markets team at Wedbush Securities. As a key member of our compliance team, you will be responsible for ensuring that our Capital Markets activities are in compliance with all relevant regulations and laws.

Key Responsibilities
  • Design and execute regulatory compliance testing for Capital Markets business
  • Test compliance with policies and standards, identify key risk control gaps and deficiencies
  • Work with the business supervision team to ensure all applicable rules and products are identified
  • Collaborate with other compliance colleagues to ensure consistency in testing and interpretation of rules
  • Monitor compliance with SEC, FINRA, and other applicable regulations
  • Stay up-to-date on changes in federal and state compliance laws and regulations
  • Advise line of business supervision staff on emerging compliance issues
  • Develop policies, procedures, and risk management analyses
  • Conduct branch office audits and assist with Annual Market Access Testing
  • Draft and update Capital Markets Policies and Written Supervisory Procedure
Requirements
  • Bachelor's Degree from an accredited university
  • Extensive knowledge in equity and fixed income institutional trading, investment banking, and research activities
  • 10+ years of related experience in a broker/dealer operations and/or compliance position
  • FINRA Series 7, 24, 63 licenses required
  • Understanding of FINRA, SEC, and other regulatory requirements
What We Offer

As a valued member of our team, you will enjoy a comprehensive benefits package, including medical, dental, and vision coverage, health savings account, flexible spending accounts, and 401(k) plan with company matching contributions. You will also have access to tuition reimbursement, paid sick time, holidays, and volunteer time off.

We are an equal opportunity employer and welcome applications from diverse candidates. If you are a motivated and experienced compliance professional looking for a new challenge, please submit your application.