Senior Compliance Officer Job at Alexander Chapman, Arlington, VA

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  • Alexander Chapman
  • Arlington, VA

Job Description

Now Hiring: Senior Compliance Officer | Securities Industry

Location: Arlington, Virgina - New York City - Chicago

Type: Full-Time

Compensation: Competitive base salary + quarterly bonus + full benefits package

About the Role

Our client, a leading firm in the securities industry, is seeking an experienced Senior Compliance Officer with 8+ years of regulatory and compliance experience . This role is ideal for a compliance professional looking to take on a senior leadership position within a fast-paced, collaborative environment.

Key Responsibilities:

  • Partner with the Chief Compliance Officer to enhance and maintain the firm’s compliance program.
  • Lead and manage firm-wide compliance projects and cross-functional initiatives.
  • Develop, maintain, and update departmental standard operating procedures.
  • Conduct internal investigations into compliance issues and ensure timely resolution.
  • Perform regulatory research, draft memorandums, and provide actionable guidance to internal stakeholders.
  • Prepare clear reports identifying risks, findings, and recommendations.
  • Promote a strong culture of compliance throughout the organization.
  • Stay informed on evolving industry regulations and best practices.

Qualifications:

  • Bachelor’s degree in Business, Law, Finance, Economics, or a related field.
  • 8–10 years of compliance or regulatory experience within the securities industry.
  • Minimum of 3 years in a supervisory or managerial role.
  • FINRA SIE, Series 7, and Series 24 licenses preferred.
  • Recognized compliance certification preferred.
  • Strong understanding of consumer protection regulations and marketing guidelines.
  • Excellent communication, critical thinking, and project management skills.

Job Tags

Full time, Immediate start,

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