Broker Dealer Compliance Officer

We're working with an established institutional broker-dealer that is seeking an experienced Compliance Officer to provide broad-based coverage across its trading and capital markets businesses. This role is 5 days per week on-site in the New York office. They offer benefits that include lunch being provided daily and unlimited PTO alongside a competitive salary and bonus package. Key responsibilities Develop and maintain compliance policies and procedures for institutional trading activities. Manage trading, operational and supervisory compliance matters. Oversee trade reporting requirements, including CAT, CAIS and Rule 606. Manage the firm's surveillance programme, control room and restricted-list processes. Support wall crossings, Rule 144 transactions, legal sales and best-execution oversight. Review electronic communications, marketing materials, employee trading, outside business activities and private securities transactions. Serve as a compliance liaison to trading desks and senior management. Coordinate regulatory examinations, inquiries and interactions with FINRA and the SEC. Review AML, KYC and CIP matters and complete client due-diligence questionnaires. Conduct branch and departmental audits and support new-client onboarding. Manage continuing education and registration-related requirements. Provide compliance support to affiliated entities where required. Candidate profile At least 3 years of broker-dealer compliance experience. Institutional broker-dealer or trading compliance experience strongly preferred. Active Series 7, 63 and 24 licences preferred; additional registrations may be required. Experience with CAT, CAIS and Rule 606 reporting. Strong understanding of SEC, FINRA and securities-industry regulations. Familiarity with regulatory systems such as CAT, TRACE, CRD, ACT Workstation and FINRA Gateway. Bachelor's degree required; an advanced degree is advantageous. This opportunity would suit a hands-on compliance professional who enjoys working closely with the business and wants to broaden their exposure across institutional trading and capital markets. #J-18808-Ljbffr Pinnacle Career Coaching