Senior Compliance Officer

JCW Group; New York (NY); On-site; USD 180,000 - 240,000; Full time

Job summary

JCW Group in New York is seeking a Senior Compliance Manager to join the Compliance function, reporting to the Chief Compliance Officer. This broker-dealer role covers securities regulation, AML/KYC, registrations and cross-border advisory for a bank with a global footprint.

You will provide regulatory guidance to business lines, oversee client onboarding, AML/KYC, and licensing; update the firm’s compliance program; support audits and inquiries; and mentor a Compliance Associate while working

Qualifications

• FINRA Series 14 or 24 licence required.
• Significant experience managing compliance in a broker-dealer.
• Experience in Compliance Advisory/Regulatory roles within FINRA-regulated broker-dealers.
• Strong knowledge of U.S. securities regulations and cross-border framework.

Responsibilities

• Providing regulatory and policy advice to business lines on securities and cross-border regulations.
• Overseeing client onboarding, AML/KYC, registration and licensing, and Personal Account dealing.
• Managing and updating the firm’s compliance program, policies and procedures in line with U.S. and global standards.
• Supporting audits, regulatory inquiries and examinations, and coordinating issue tracking and remediation.
• Leading and mentoring a Compliance Associate while partnering with global Compliance colleagues on cross-border matters.

Skills

FINRA Series 14/24

Broker-dealer compliance

Regulatory advisory

Stakeholder management

Cross-border

Job description

Our client is a leading international Bank based in New York. At present they are looking for a Senior Compliance Manager to join their Compliance function, reporting directly to the Chief Compliance Officer. This is a broker-dealer compliance role covering securities regulation, AML/KYC, registration and licensing, and cross-border advisory, within a business with a global footprint spanning international offices. This is an excellent opportunity for an experienced compliance professional to take a step up in responsibility and work directly with senior leadership across the Bank.

What you'll be doing:

• Providing regulatory and policy advice to business lines on securities and cross-border regulations
• Overseeing client onboarding, AML/KYC, registration and licensing, and Personal Account dealing
• Managing and updating the firm's compliance program, policies and procedures in line with U.S. and global standards
• Supporting audits, regulatory inquiries and examinations, and coordinating issue tracking and remediation
• Leading and mentoring a Compliance Associate while partnering with global Compliance colleagues on cross-border matters

What you'll need:

• FINRA Series 14 or 24 licence required
• Significant relevant experience managing compliance in a broker-dealer
• Significant experience in Compliance Advisory, Legal or Regulatory roles within FINRA-regulated broker-dealers
• Strong knowledge of U.S. securities regulations and the 15a-6 broker-dealer/cross-border framework
• Strong communication and ability to work independently; excellent stakeholder and relationship management experience

We are committed to equal opportunity and welcome applications from all qualified candidates regardless of race, colour, religion, sex, sexual orientation, gender identity, national origin, age, disability, veteran status, or any other protected characteristic. All applications will be assessed solely on merit, skills and experience.