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.

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