Mission Staffing · 13 hours ago
Compliance Officer
NYC Metro Area
Contract
Hybrid
Senior Level
$60/hr - $65/hr
5+ years expMission Staffing is representing a global investment bank seeking a Compliance professional with broker-dealer experience. The role focuses on risk and control oversight, ongoing monitoring, and compliance testing across equity and fixed income businesses, with involvement in regulatory requirements related to investment banking and research.
FinanceRecruitingStaffing Agency
Responsibilities
Execute compliance testing as part of the firm’s ongoing monitoring program to assess adherence to federal regulations and internal policies/controls
Support a risk and controls framework across Sales & Trading, helping identify, evaluate, and mitigate compliance risks
Review and interpret SEC and FINRA rules and guidance impacting broker-dealers
Monitor regulatory developments and assess applicability to the business, particularly in investment banking, equity and fixed income sales & trading, and research
Partner with business stakeholders to strengthen supervisory controls and ensure appropriate escalation and documentation of issues
Qualification
Required
5+ years of Compliance experience within a broker-dealer and/or investment bank, with direct support of Sales & Trading activities
Hands-on experience performing compliance testing/monitoring within an established compliance program
Strong knowledge of broker-dealer regulatory requirements, including SEC/FINRA rules, and related risks across Sales & Trading and investment banking
Ability to evaluate controls and provide practical guidance in a fast-paced, front-office environment
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