Senior Compliance Advisor – FINRA/SEC (Hybrid NYC)

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

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.