Broker Dealer Compliance Officer, SVP

Partnership Employment; New York (NY); On-site; USD 150,000 - 210,000; Full time

Job summary

Partnership Employment in New York seeks an experienced compliance leader to partner with executive leadership and shape a robust compliance framework aligned with securities regulations. You will oversee monitoring, supervisory reviews, investigations, regulatory filings, and governance for product reviews and risk assessments, escalating matters as needed and guiding improvements across the program.

Strong collaboration with business teams and a deep understanding of regulatory developments

Responsibilities

• Partner with executive leadership to shape and strengthen the firm's compliance framework against regulatory obligations.
• Provide strategic oversight of monitoring, supervisory review, investigations, regulatory filings, and assurance activities.
• Act as a senior resource for escalated regulatory, supervisory, and conduct-related matters presenting elevated risk.
• Direct oversight for offering and distribution of specialized investment solutions, including non-traditional investment vehicles, insurance-based products, and other higher-complexity offerings.
• Contribute to governance processes supporting product review, risk assessment, approval, and oversight activities.
• Maintain and enhance supervisory governance documentation, policies, and procedural standards to support effective oversight.
• Work closely with business stakeholders to evaluate supervisory effectiveness, strengthen control environments, and implement process improvements where necessary.
• Lead regulatory engagement activities, including examination support, information requests, issue remediation efforts, and management of corrective action initiatives.
• Assess emerging regulatory and industry developments to determine potential impacts on business activities, sales practices, and distribution models.

Job description

• Partner with executive leadership to shape, execute, and continuously strengthen the firm's compliance framework in alignment with applicable securities industry regulatory obligations.
• Provide strategic oversight of monitoring, supervisory review, investigative processes, regulatory filings, and compliance assurance activities.
• Act as a senior resource for escalated regulatory, supervisory, and conduct-related matters presenting elevated risk to the organization.
• Direct compliance oversight for the offering and distribution of specialized investment solutions, including non-traditional investment vehicles, insurance-based products, and other higher-complexity offerings.
• Contribute to governance processes supporting product review, risk assessment, approval, and ongoing oversight activities.
• Maintain and enhance supervisory governance documentation, policies, and procedural standards to support effective oversight.
• Work closely with business stakeholders to evaluate supervisory effectiveness, strengthen control environments, and implement process improvements where necessary.
• Lead regulatory engagement activities, including examination support, information requests, issue remediation efforts, and management of corrective action initiatives.
• Assess emerging regulatory and industry developments to determine potential impacts on business activities, sales practices, and distribution models.