Job Description

Senior Compliance Officer - Broker-Dealer Operations

Location: New York, NY (Onsite 5 days/week)

Function: U.S. Broker-Dealer Compliance

Coverage Areas: Operations, Treasury, Finance

Level: Senior Individual Contributor

Overview: Ourclient is hiring a seasoned Senior Compliance Officer to lead regulatory oversight and business-line coverage for their U.S. broker-dealer, with a strong emphasis on Operations, Treasury, and Finance interfaces . This role owns the firm's regulatory governance cadence, supports examinations and audits, manages registrations and disclosures, and strengthens supervisory controls, policies, and recordkeeping. You will work closely with Finance, Operations, Technology, and Central Compliance to ensure a consistent, exam-ready control environment. Key Responsibilities: Regulatory Oversight & Risk Advisory

• Serve as a trusted compliance advisor to business stakeholders, providing clear guidance on regulatory obligations and operational risk.

• Translate regulatory requirements into practical, sustainable controls aligned with business processes.

Regulatory Governance & Obligation Management

• Enhance and maintain the broker-dealer regulatory governance framework, identifying gaps and strengthening oversight mechanisms.

• Own the firm's regulatory obligation inventory, including SEC, FINRA, and DEA requirements-tracking deadlines, owners, evidence, and escalations.

• Manage FINRA Gateway workflows, communications, and task queues across exchange and clearing memberships.

Registrations & Licensing

• Partner with Central Compliance on registration and licensing processes, including Form U4/U5 updates.

• Coordinate Form BD amendments and branch registrations (Form BR), ensuring timely and accurate submissions.

Regulatory Reporting & Disclosures

• Oversee periodic reviews and remediation for regulatory reporting obligations, including CAT/CAIS, Blue Sheets (EBS), LOPR, and short-interest filings.

• Maintain documentation, evidence logs, and control attestations supporting reporting accuracy.

Examinations, Audits & Inquiries

• Lead the annual FINRA Rule 3120 Supervisory Control Review, including scoping, vendor coordination, testing, findings management, and executive reporting.

• Coordinate annual FINRA vendor due-diligence responses.

• Centralize regulator inquiries, manage response workflows, upload evidence, and drive remediation through regulatory portals and internal tracking tools.

• Design and execute an exam-readiness program (mock requests, evidence libraries, contact matrices) ahead of regulatory cycles, with issue tracking in AuditBoard.

Membership & Regulatory Filings Lifecycle

• Manage ongoing membership documentation, annual attestations, and regulatory due-diligence submissions.

• Perform second-line quality reviews of filings prior to submission; standardize workflows, checklists, and repositories.

Supervisory Controls, WSPs & Policy Management

• Update and maintain Treasury-related Written Supervisory Procedures, mapping controls and responsibilities to regulatory requirements.

• Publish policies and procedures within enterprise policy systems, supporting attestations and evidence collection.

• Draft and maintain a Treasury Best Execution policy in coordination with Central Compliance.

Books & Records & Recordkeeping

• Lead books-and-records enhancement initiatives, documenting changes and maintaining a clear audit trail.

• Oversee compliance with SEC Rules 17a-3 and 17a-4, including periodic retention and completeness checks.

Compliance Testing & Assurance

• Collaborate with Compliance Testing to develop and execute the annual compliance risk assessment and testing plan.

• Identify risk areas, define testing approaches, evaluate results, and track issue resolution to closure.

Governance, Training & Engagement

• Co-manage monthly Broker-Dealer Governance forums, including agenda development and action tracking.

• Contribute to annual training needs assessments and deliver targeted compliance training; monitor regulatory and firm-element training completion.

Financial & Operational Rule Interfaces

• Coordinate with Finance on Net Capital (Rule 15c3-1) and Customer Protection (Rule 15c3-3) matters.

• Maintain Regulation SHO oversight and partner with Technology to enhance compliance tooling and automation.

Requirements:

• Experience: 7 10+ years of deep-bench experience in U.S. broker-dealer compliance, specifically within an assurance, exam management, or supervisory control capacity.

• Regulatory Knowledge: Expert-level command of FINRA Rules 3110, 3120, 3130, 3310, and SEC 17a-3/17a-4.

• Tech Stack Proficiency: Hands-on mastery of FINRA Gateway, AuditBoard, PolicyHub, JIRA, and SharePoint. Experience with CAT/CAIS and EBS reporting tools is essential.

• Credentials: FINRA Series 7 is highly preferred; Series 14, 24, or 27 is a significant advantage.

• Expertise: Specific experience covering Treasury/Operations (custody, sweeps, and funding) and a proven ability to translate complex rules into auditable, practical controls.

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