Senior Compliance Officer

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

Job summary

Larson Maddox is seeking a Senior Compliance Officer in New York City for a hybrid role within a premier financial services organization. The position involves advising senior leadership on compliance risk, governance, and regulatory requirements across institutional equities, foreign sales, and broker‑dealer activities.

The role emphasizes risk management, regulatory exams, and the development of policies, with opportunities to influence strategy and mentor junior team members.

Qualifications

• 7+ years of compliance, legal, risk, or regulatory experience within financial services.
• Strong institutional equities, foreign sales, and broker‑dealer compliance experience.
• Deep knowledge of securities regulations and regulatory risk management.
• Experience advising business stakeholders on complex compliance matters.
• Background supporting regulatory examinations, audits, and compliance programs.
• FINRA Series 14 and Series 24 licenses required.
• Strong communication, leadership, and stakeholder management skills.

Responsibilities

• Provide compliance advisory support to business leaders and senior management.
• Advise on regulatory requirements, compliance risk management, and governance matters.
• Support institutional equities, foreign sales, and capital markets business activities.
• Conduct compliance risk assessments and oversee ongoing monitoring efforts.
• Manage onboarding, due diligence, and regulatory review processes.
• Support regulatory examinations, audits, and remediation initiatives.
• Maintain and enhance compliance policies, procedures, and controls.
• Review new business initiatives and provide practical compliance guidance.
• Prepare reporting and present compliance updates to senior leadership.
• Promote a strong culture of compliance and mentor junior team members.

Skills

Compliance advisory

Regulatory risk management

Leadership

Stakeholder management

Education

FINRA Series 14

FINRA Series 24

Job description

New York City | Hybrid | $175,000-225,000 Base Salary

Our client, a highly regarded financial services organization, is seeking a Senior Compliance Officer to step into a visible advisory role supporting institutional equities, foreign sales, and broker‑dealer business activities. This is an opportunity to work directly with senior leadership, influence key business decisions, and play a meaningful role in a complex regulatory environment.

Key Responsibilities

• Provide compliance advisory support to business leaders and senior management
• Advise on regulatory requirements, compliance risk management, and governance matters
• Support institutional equities, foreign sales, and capital markets business activities
• Conduct compliance risk assessments and oversee ongoing monitoring efforts
• Manage onboarding, due diligence, and regulatory review processes
• Support regulatory examinations, audits, and remediation initiatives
• Maintain and enhance compliance policies, procedures, and controls
• Review new business initiatives and provide practical compliance guidance
• Prepare reporting and present compliance updates to senior leadership
• Promote a strong culture of compliance and mentor junior team members

Qualifications

• 7+ years of compliance, legal, risk, or regulatory experience within financial services
• Strong institutional equities, foreign sales, and broker‑dealer compliance experience
• Deep knowledge of securities regulations and regulatory risk management
• Experience advising business stakeholders on complex compliance matters
• Background supporting regulatory examinations, audits, and compliance programs
• FINRA Series 14 and Series 24 licenses required
• Strong communication, leadership, and stakeholder management skills

Why Consider This Opportunity?

• High-impact role with significant exposure to senior leadership
• Broad regulatory and advisory responsibilities across multiple business lines
• Opportunity to influence strategy, governance, and risk management decisions
• Collaborative environment with strong visibility and growth potential