Mission Staffing · 5 days ago
Broker Dealer Compliance Officer
NYC Metro Area
Contract
Onsite
Senior Level
$60/hr - $65/hr
5+ years expMission Staffing is representing a leading global investment bank seeking an experienced Compliance professional. The role involves ensuring regulatory compliance with SEC and FINRA rules while supporting key business lines such as Sales & Trading and Research.
FinanceRecruitingStaffing Agency
Responsibilities
Serve as Compliance coverage for Equity and Fixed Income Sales & Trading and Research
Conduct compliance testing as part of the firm’s monitoring framework, including documenting findings and overseeing remediation efforts
Perform compliance risk assessments and assess the design and effectiveness of controls
Execute branch office inspections and review business activities for adherence to regulatory and internal requirements
Analyze and apply SEC and FINRA regulations relevant to broker-dealer activities (S&T, Investment Banking, Research)
Draft, update, and maintain compliance policies and procedures
Provide support for surveillance-related initiatives as needed (role is not solely surveillance-focused)
Participate in regulatory and bank examinations (highly preferred)
Qualification
Required
Minimum of 5 years of compliance experience within a broker-dealer environment
Direct experience with compliance testing, ongoing monitoring, controls, and audit-style documentation
Strong understanding of SEC/FINRA regulations and key broker-dealer risk areas
Excellent written and verbal communication skills with the ability to engage effectively with business partners
Preferred
Participate in regulatory and bank examinations (highly preferred)
Company
Mission Staffing
Mission Staffing is a finance and recruiting company located in New York.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Jonathan Gelfand
Founder/CEO
Company data provided by crunchbase