Senior Broker-Dealer Compliance Advisor

Dynamics Executive Search; New York (NY); On-site; USD 150,000 - 190,000; Full time

Job summary

Dynamics Executive Search is seeking a senior Compliance professional for a brokerage advisory role focused on equities and options. The candidate will serve as a trusted compliance partner, advising on regulatory questions, evaluating risks, and maintaining supervisory controls across markets.

The role involves collaboration with Legal, Risk, Operations and other control functions, and requires strong judgment to balance regulatory requirements with practical business guidance.

Qualifications

• 8+ years of compliance or regulatory experience.
• Experience advising trading, markets, or front-office businesses.
• Strong knowledge of the U.S. regulatory environment.
• Bachelor's degree required; advanced degrees or professional qualifications beneficial.
• Excellent communication and relationship-management skills.

Responsibilities

• Advise on day-to-day regulatory questions and evaluate compliance risks.
• Review new business initiatives and maintain policies and supervisory controls.
• Participate in regulatory projects and implement changes from evolving requirements.
• Collaborate with Legal, Risk, Operations and control functions across the business.

Skills

Regulatory compliance

Policy interpretation

Stakeholder communication

Risk assessment

Regulatory project experience

Education

Bachelor's degree

Job description

Dynamics Executive Search is seeking a senior Compliance professional for a brokerage advisory role focused on equities and options. The candidate will serve as a trusted compliance partner, advising on regulatory questions, evaluating risks, and maintaining supervisory controls across markets.

The role involves collaboration with Legal, Risk, Operations and other control functions, and requires strong judgment to balance regulatory requirements with practical business guidance.