This role is responsible for supporting the firm’s regulatory compliance program and helping to ensure adherence to applicable securities laws, rules, and industry standards. The individual will contribute to the development, implementation, and ongoing enhancement of compliance policies, procedures, and supervisory controls, with a particular focus on broker-dealer operations, private placements, and alternative investments.
The position partners closely with business, operations, and technology teams to strengthen the firm’s control environment, oversee key compliance functions, and support regulatory readiness.
Key Responsibilities· Monitor broker-dealer activities to ensure compliance with SEC and FINRA rules, as well as internal policies and procedures
· Conduct ongoing surveillance reviews, including transaction blotter analysis and electronic communications monitoring
· Maintain, update, and enhance Written Supervisory Procedures (WSPs) to reflect evolving regulatory requirements and business practices
· Support regulatory filings, including Form U4, Form U5, and Form ATS submissions
· Assist with regulatory examinations, inquiries, and internal/external audits, including preparation of documentation and responses
· Execute compliance testing programs and document findings, including identification of control gaps and remediation tracking
· Provide compliance input and subject matter expertise in the development and enhancement of internal technology and software solutions
· Deliver compliance guidance and training to employees across business lines
· Support Anti-Money Laundering (AML) monitoring and Know Your Customer (KYC) / Customer Identification Program (CIP) processes
· Assist in overseeing controls related to offering review, sales practices, and investor suitability, particularly for private placements and alternative investment products
· Approximately 5 years of experience in broker-dealer compliance or a related function
· Exposure to trading, operations, or due diligence, preferably within a fintech or technology-enabled environment
· Strong working knowledge of SEC and FINRA regulatory frameworks
· Demonstrated analytical, problem-solving, and organizational skills
· Effective written and verbal communication skills, with the ability to interact across all levels of the organization
· FINRA Series 7 (required)
· FINRA Series 24 (required or willingness to obtain within a defined timeframe)
· Series 63 or Series 66 (required)
· Salary range: $75,000 – $100,000, commensurate with experience and qualifications.
· Comprehensive benefits package, including health insurance, retirement plan, and paid time off