JCW Group · 1 week ago
VP Compliance Officer - Broker Dealer
New York, United States
Full-time
Onsite
Senior Level, Lead/Staff, Director/Executive
7+ years expJCW Group is representing a broker-dealer seeking a Senior Compliance Officer to join its U.S. compliance team. The role involves advising on SEC/FINRA regulations, overseeing compliance controls, and supporting regulatory inquiries while mentoring junior team members.
Human ResourcesRecruitingStaffing Agency
Responsibilities
Advise business lines on SEC/FINRA regulations governing sales & trading, capital markets, syndicate, and research activities
Oversee surveillance and supervisory controls, including information barriers, restricted lists, trade monitoring, and communications review
Review research, marketing, and communications under FINRA Rules 2210 and 2241/2242
Support regulatory inquiries, exams, and filings with FINRA, the SEC, and other authorities
Contribute to compliance risk assessments, testing, and enhancement of the monitoring program
Mentor junior team members and collaborate with global compliance counterparts on governance and cross-border initiatives
Qualification
Required
7+ years' broker-dealer compliance experience, covering equity/fixed income and capital markets
Strong knowledge of SEC and FINRA rules (including 2210, 2241/2242, Reg M, Reg AC)
Experience with control room functions and BSA/AML oversight
Effective communicator with strong judgment and stakeholder management skills
Bachelor's degree required
Preferred
Series 7, 24, or 14 preferred
Company
JCW Group
JCW Group is a recruitment company that offers talent solutions to businesses.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Jamie Woods
Founder / Chairman
Company data provided by crunchbase