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Compliance Officer

  • Location: new york, NY
  • Job Type: Direct Placement
  • Ref No: 19-05474
  • Date: September 11, 2019
  • Job title:



Darina Naumova

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Job Description - Compliance Officer

A start up broker dealer is looking for a Compliance Officer. The Compliance Officer will be the first compliance hire and report into the General Counsel. This person will have to be both strategic and tactical and take on higher level duties, as well, as lower level tasks that analysts do.

Regulatory Compliance is a key team that ensures this company's products and processes meet the wording and spirit of regulatory requirements, then translate this into good customer outcomes. Regulatory Compliance also facilitates open and transparent relationships with our regulators.

The Regulatory Compliance team brings this company's commitment to improving all aspects of finance to risk management. We are far more data-led than similar functions within other companies; our team has both a strong understanding of regulatory requirements and the ability to find solutions and carry out testing in a purely digital environment.

Join a team that knows that better people and machines are the most effective way of managing conduct risk.

What you'll be doing:

  • Assess and advise company employees on a broad range of Client broker-dealer matters, including anti-money laundering, sanctions, fraud, data privacy/cyber-security, and other regulatory inquiries.
  • Develop and implement policies and procedures to mitigate regulatory risk.
  • Review of correspondence and marketing materials, including email and customer complaints.
  • Assist in executing training and communication plans to ensure consistent application of compliance policies.
  • Assist with Client 3110 and Client 3120.


  • 3+ years of Client broker-dealer experience.


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