Fortune 500 · 1 day ago
Broker Dealer Compliance Officer
NYC Metro Area
Contract
Onsite
Entry, Mid, Senior LevelFortune 500 company is seeking a Broker Dealer Compliance Officer for two open positions. The role involves leading regulatory governance, managing compliance operations, and ensuring the organization is consistently prepared for examinations.
Staffing & Recruiting
Responsibilities
Owning trackers, governance cadence, metrics/reporting, managing JIRA boards, coordinating evidence and exam readiness, and helping drive remediation across Ops / Treasury / Finance / Transaction Reporting
Leading day-to-day regulatory governance, driving exam/inquiry responses, strengthening WSPs/controls, overseeing remediation, and partnering closely with senior stakeholders to keep the environment consistently exam-ready
Qualification
Required
Experience in compliance analysis and governance
Ability to manage trackers and governance cadence
Proficiency in metrics/reporting
Experience managing JIRA boards
Capability to coordinate evidence and exam readiness
Experience in driving remediation across Operations, Treasury, Finance, and Transaction Reporting
Experience in leading regulatory governance
Ability to drive exam/inquiry responses
Experience in strengthening WSPs/controls
Experience overseeing remediation
Ability to partner closely with senior stakeholders
Company
Fortune 500
Fortune 500 is an independent business media and professional networking hub that curates insights, hiring updates, and leadership lessons from the world’s most influential corporations.
2-10 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase