Regulatory Affairs Officer

6 days ago


New York, New York, United States Dominari Securities LLC Full time

Job Summary: Broker-Dealer Compliance Specialist

Location: New York

Estimated Salary: $130,000 - $190,000 per year

Dominari Securities LLC is a leading broker-dealer and wealth management firm seeking a highly skilled Compliance Specialist to join its team. The ideal candidate will possess 2-5 years of experience in broker-dealer compliance, a deep understanding of FINRA and SEC regulations, and proficiency in Microsoft Office tools.

Key Responsibilities:

  • Manage all regulatory matters related to the firm's operations, including but not limited to FINRA and SEC regulations.
  • Develop and maintain written supervisory procedures to ensure compliance with regulatory requirements.
  • Assist the Chief Compliance Officer with supervising and managing requirements related to the personal accounts of the firm's associated persons.
  • Update and file regulatory reports on an annual, periodic, or ad hoc basis.

Requirements:

  • 2-5 years of validated experience in broker-dealer compliance.
  • FINRA Series 7 and 24 license required; Series 14 or 53 is a plus.
  • BS or BA degree required.


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