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Atlas Search · 4 days ago

Compliance Officer-Broker Dealer Advisory

NYC Metro Area

Full-time

Hybrid

Mid Level

$150K/yr - $200K/yr

Atlas Search is hiring for a Compliance Officer in Broker-Dealer Advisory focusing on regulatory governance within a financial services organization. The role involves providing compliance advice, managing regulatory exams, and supporting governance and reporting while collaborating with various internal stakeholders.

FinanceRecruitingStaffing Agency

Growth Opportunities

Hiring Manager

Jake Bachner

Responsibilities

Provide compliance advice and credible challenge to business and support functions on broker-dealer regulatory matters

Coordinate and manage regulatory exams and inquiries, ensuring timely, accurate, and well-supported responses

Act as a central point of contact across internal stakeholders (Compliance, Legal, Risk, Finance, Operations, HR, Audit, Technology, and senior leadership)

Support governance and reporting, including senior management reporting, metrics, and annual compliance reporting and certifications

Assist with regulatory filings, applications, and remediation efforts related to regulatory findings or enforcement actions

Support regulatory change management by assessing applicability, coordinating impact assessments, and helping implement new requirements

Oversee and support core compliance program areas, including:

Policies and procedures

Compliance training

Issues management and corrective action plans

Monitoring & testing and risk assessments

Surveillance, employee compliance, and financial crimes compliance

Draft and distribute compliance alerts, guidance, and communications to business and infrastructure teams

Participate in the evaluation and implementation of compliance technology and process improvements

Identify gaps, risks, and efficiency opportunities driven by regulatory changes, audits, monitoring results, or new business initiatives

Qualification

Broker-dealer complianceU.S. securities lawsRegulatory exams managementRegulatory advisory experienceCross-functional communicationOrganizational skillsAttention to detail

Required

Experience in broker-dealer compliance or regulatory advisory roles

Strong knowledge of U.S. securities laws and regulations

Experience managing regulatory exams and regulatory communications

Ability to work cross-functionally and communicate complex regulatory topics clearly and practically

Strong organizational skills and attention to detail, with the ability to handle multiple priorities in a fast-paced environment

Company

Atlas Search

Atlas Search is an executive recruiting firm dedicated to placing accounting, finance, middle office, information tech, human resources.

Founded in 2015

New York, New York, USA

51-200 employees

https://atlassearchllc.com/

Funding

Current Stage

Growth Stage

Leadership Team

Pablo Ismael

Partner, Chief Operating Officer

Peter Riccio

Founding Partner

Recent News

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