Broker-Dealer Compliance Specialist

Alexander Chapman Ltd; New York (NY); On-site; USD 65,000 - 90,000; Full time

Job summary

Alexander Chapman Ltd. seeks a Compliance Associate to support a broker-dealer compliance team in New York. You will help oversee fundraising and capital markets activities, review marketing and investor communications, and assist with FINRA licensing and regulatory filings.

The role requires 2+ years in financial services compliance, familiarity with broker-dealer rules, and strong communication. Series 7/24 are preferred, with willingness to obtain within six months.

Qualifications

• 2+ years of compliance experience in financial services.
• Familiarity with broker-dealer compliance, FINRA rules, or the Advisers Act.
• Strong communication skills, attention to detail, and ability to work across teams.
• Series 7 and 24 preferred, or willingness to obtain both within six months.

Responsibilities

• Review marketing materials, investor communications, press releases, and social media content
• Conduct communications surveillance and prepare regulatory filings
• Support FINRA licensing and registration
• Help maintain compliance policies and conduct testing, monitoring, and employee training
• Track regulatory developments affecting the broker-dealer business

Skills

Compliance experience

Broker-dealer familiarity

Communication

Team collaboration

Education

Series 7 & 24 licenses (preferred)

Job description

Alexander Chapman Ltd. seeks a Compliance Associate to support a broker-dealer compliance team in New York. You will help oversee fundraising and capital markets activities, review marketing and investor communications, and assist with FINRA licensing and regulatory filings.

The role requires 2+ years in financial services compliance, familiarity with broker-dealer rules, and strong communication. Series 7/24 are preferred, with willingness to obtain within six months.