Compliance Advisory Officer

Larson Maddox; New York (NY); Hybrid; USD 175,000 - 225,000; Full time

Job summary

Larson Maddox is seeking a Compliance Advisory Officer to join its U.S. Compliance team.

The role serves as a trusted advisor across a FINRA-regulated broker-dealer platform and supports a broad range of capital markets and cross-border activities. This hybrid position in New York City offers regular interaction with senior leadership, exposure to strategic initiatives, and the opportunity to strengthen an established compliance program.

Qualifications

• FINRA Series 14 or Series 24 license required.
• Experience in FINRA-regulated broker-dealer, investment banking or capital markets.
• Knowledge of SEC and FINRA regulations.
• Experience managing regulatory examinations and audits.
• AML/KYC, employee compliance programs, and conflicts management knowledge.
• Ability to communicate with senior stakeholders.

Responsibilities

• Provide day-to-day compliance advisory support to broker-dealer and capital markets business lines.
• Interpret and advise on applicable SEC and FINRA regulations, including cross-border securities activities.
• Partner with business stakeholders to identify, assess, and mitigate regulatory and compliance risks.
• Support licensing and registration activities.
• Assist with administration and enhancement of the firm's AML program.
• Oversee personal trading surveillance and employee compliance monitoring processes.

Skills

FINRA Series 14/24

Job description

Hybrid | New York City, NY Base Salary: $175,000 - $225,000 + Bonus

About the Opportunity

Compliance Advisory Officer

Hybrid | New York City, NY Base Salary: $175,000 - $225,000 + Bonus

About the Opportunity

A growing global financial services firm is seeking a Compliance Advisory Officer to join its U.S. Compliance team. This individual will serve as a trusted advisor to business stakeholders, providing regulatory guidance across a FINRA-regulated broker-dealer platform and supporting a broad range of capital markets and cross-border activities.

This is a highly visible role offering regular interaction with senior leadership, involvement in strategic business initiatives, and the opportunity to contribute to an established compliance program within a dynamic international environment.

Key Responsibilities

• Provide day-to-day compliance advisory support to broker-dealer and capital markets business lines.
• Interpret and advise on applicable SEC and FINRA regulations, including cross-border securities activities.
• Partner with business stakeholders to identify, assess, and mitigate regulatory and compliance risks.
• Support new products, business initiatives, transactions, and strategic projects from a compliance perspective.
• Oversee AML/KYC processes, customer due diligence, and related compliance controls.
• Maintain oversight of books and records requirements, employee compliance monitoring, and regulatory obligations.
• Support licensing and registration activities.
• Assist with administration and enhancement of the firm's AML program.
• Oversee personal trading surveillance and employee compliance monitoring processes.
• Coordinate regulatory examinations, audits, inquiries, and remediation efforts.
• Draft, review, and enhance compliance policies, procedures, and controls.
• Provide guidance on information barriers, conflicts management, and market conduct requirements.
• Monitor regulatory developments and communicate impacts to relevant stakeholders.
• Deliver compliance training and regulatory awareness initiatives.
• Prepare management reporting related to compliance risks, trends, and regulatory developments.
• Collaborate with Legal, Risk, Operations, Technology, Surveillance, and other control functions.
• Support and mentor junior compliance team members as needed.

Qualifications

• FINRA Series 14 or Series 24 license required.
• Strong compliance advisory experience within a FINRA-regulated broker-dealer, investment banking, capital markets, or related financial services environment.
• Demonstrated knowledge of SEC and FINRA regulations.
• Experience supporting securities, institutional brokerage, capital markets, or cross-border business activities.
• Knowledge of AML/KYC requirements, employee compliance programs, conflicts management, and regulatory risk frameworks.
• Experience managing regulatory examinations, audits, and compliance oversight activities.
• Professional certifications such as CAMS, CRCM, or similar credentials are a plus.
• Ability to effectively communicate and partner with senior business and control function stakeholders.