Regulatory Compliance Professional

1 day ago


New York, New York, United States Dominari Securities LLC Full time
Job Title: Regulatory Compliance Professional

Company Profile: Dominari Securities LLC is a New York-based boutique broker-dealer and wealth management firm seeking a talented Regulatory Compliance Professional to join their team. This role will involve working closely with the Chief Compliance Officer and other key departments to ensure compliance with regulatory requirements.

Salary Range: $100,000 - $160,000 per annum based on experience and qualifications.

Key Responsibilities:
  • Drafting and maintaining the firm's written supervisory procedures
  • Ensuring all risks and controls are appropriately embedded and continuously reviewed within the appropriate systems
  • Providing support and execution to all ad hoc projects assigned by the Chief Compliance Officer

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

Location: NYC-based, 5-days per week in-office.



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