Head of Compliance Technology

JCW Group; New York (NY); On-site; USD 100,000 - 150,000; Full time

Job summary

JCW Group is seeking a Compliance Technology Administrator to own the administration, maintenance, and continuous improvement of the Firm's Compliance environment.

You will partner with the CCO, Compliance Heads, and IT leadership to ensure regulatory alignment, data quality, and operational stability across platforms.

Qualifications

• Bachelor's degree in Information Systems, Finance, Business Administration, or related field.
• 4–6 years in Compliance, Risk, or Technology, ideally at a broker-dealer or financial services firm.
• Working knowledge of Compliance tech platforms (trade surveillance, AML/KYC etc).
• Proficiency with Excel, SQL, Tableau, SharePoint, Jira, ProSurv, and PTA (ECM).
• Strong troubleshooting skills and ability to coordinate with IT/vendors.
• Solid grasp of SEC and FINRA regulatory frameworks.

Responsibilities

• Administer key Compliance platforms; serve as primary contact for system issues, incidents, and user inquiries.
• Manage user access, entitlements, and configurations per Firm policy and control requirements.
• Coordinate upgrades, enhancements, and testing with Technology teams and vendors to meet regulatory obligations.
• Troubleshoot defects and data discrepancies; perform root cause analysis and implement fixes.
• Monitor and validate completeness/accuracy of Compliance data.
• Produce and reconcile reports for governance and regulatory submissions.
• Support data quality initiatives and exception tracking.
• Contribute to Compliance technology initiatives, implementations, and integrations.
• Maintain documentation of system configurations, procedures, and control frameworks.
• Perform UAT and support deployments.
• Support audits and regulatory exams with documentation and remediation tracking.

Skills

Communication

Troubleshooting

Stakeholder coordination

Regulatory understanding

Education

Bachelor's degree

Tools

Excel

SQL

Tableau

SharePoint

Jira

ProSurv

PTA (ECM)

Job description

Own the administration, maintenance, and continuous improvement of the Firm's Compliance Technology environment. Serve as the primary point of contact for Compliance systems, ensuring operational stability, timely issue resolution, and alignment with regulatory and internal control standards. Partner closely with the CCO, Compliance Department Heads, and IT leadership.

Reports to: Chief Compliance Officer (CCO)

What You'll Do

• Administer key Compliance platforms; serve as primary contact for system issues, incidents, and user inquiries
• Manage user access, entitlements, and configurations per Firm policy and control requirements
• Coordinate upgrades, enhancements, and testing with Technology teams and vendors, ensuring systems meet regulatory obligations (SEC, FINRA)
• Troubleshoot defects and data discrepancies; conduct root cause analysis and drive sustainable fixes
• Monitor and validate completeness/accuracy of Compliance data
• Produce and reconcile reports for governance, management committees, and regulatory submissions
• Support data quality initiatives, including exception tracking and resolution
• Contribute to Compliance technology initiatives - implementations, integrations, process improvements
• Maintain documentation of system configurations, procedures, and control frameworks
• Perform UAT and support deployments
• Support audits and regulatory exams with documentation, system evidence, and remediation tracking

What You'll Need

• Bachelor's degree in Information Systems, Finance, Business Administration, or related field
• 4-6 years in Compliance, Risk, or Technology, ideally at a broker-dealer or financial services firm (admin experience a plus)
• Working knowledge of Compliance tech (trade surveillance, AML/KYC, employee compliance platforms)
• Proficiency with Excel, SQL, Tableau, SharePoint, Jira, ProSurv, and PTA (ECM)
• Strong troubleshooting skills and ability to coordinate with IT/vendors
• Solid grasp of SEC and FINRA regulatory frameworks
• Strong communicator, able to translate technical concepts for non-technical stakeholders