Senior Compliance Officer
$88 per hourBizTek People
Senior Compliance Officer
Equity Research Compliance BizTek People is seeking a Senior Compliance Officer for our client, a global financial institution in New York City. Location: Midtown, NYC Schedule: Hybrid preferred (2 days onsite / 3 days remote). Fully remote may be considered for the right candidate. Duration: Contract through October 5, 2026 Start Date: ASAP Pay Rate: up to $88/hour depending on experience + benefits
We are seeking an experienced Senior Compliance Officer with deep expertise in Control Room Compliance, Equity Research Compliance, Information Barriers, and Investment Banking Compliance. This role will serve as the Compliance Subject Matter Expert (SME) supporting Equity Research, Information Barrier governance, regulatory compliance, and Control Room activities within a global financial institution.
Key Responsibilities:
- Serve as the Compliance Subject Matter Expert (SME) on Information Barriers and Control Room Compliance.
- Advise Equity Research, Investment Banking, Legal, and business stakeholders on Information Barriers, wall-crossing procedures, sensitive information, and need-to-know policies.
- Provide compliance guidance regarding the use of experts and expert networks.
- Support research vetting requests from Investment Banking, including wall crossings and chaperoning meetings between Investment Banking and Equity Research.
- Review and approve equity research publications.
- Maintain the firm's Global Watch List and Restricted List, coordinating updates with Investment Banking teams.
- Respond to Internal Audit, regulatory inquiries, and compliance examinations.
- Draft and enhance compliance policies, procedures, and business controls.
- Deliver onboarding, annual, and ad hoc compliance training to Equity Research personnel.
- Execute compliance initiatives, regulatory projects, and special assignments.
- Stay current on SEC, FINRA, and other regulatory developments impacting Equity Research and Control Room Compliance.
Qualifications:
- Bachelor's degree required (Master's degree preferred)
- FINRA licenses strongly preferred.
- 10+ years of Compliance experience within an investment bank, broker-dealer, or financial services organization.
- 2+ years of experience supporting Equity Research Compliance and Control Room functions.
- Strong knowledge of Information Barriers, MNPI, wall-crossing procedures, and Watch/Restricted List management.
- Thorough understanding of SEC and FINRA regulations, including: Section 15(g) of the Securities Exchange Act of 1934 (MNPI) FINRA Rules 2241 and 2242 Regulation M Safe Harbor provisions Global Research Settlement requirements
- Experience responding to Internal Audit and regulatory examinations.
- Strong analytical, communication, and stakeholder management skills.
- Ability to manage multiple priorities in a fast-paced environment while exercising sound judgment.
Vacancy posted 4 days ago
Similar jobs that could be interesting for youBased on the Senior Compliance Officer in New York, NY vacancy
$163k - $204k
...companies, through internal and external managers. The Investments Compliance team provides compliance and regulatory support to AIG’s... ...insurance companies and will work closely with the Chief Compliance Officer in the day-to-day execution of the compliance program.Review...SeniorFull timeWork at office$175k
Reference: 13578Senior Compliance Officer, Investec USAInvestec - Where Out of the Ordinary HappensAt Investec, we do things differently. We'... ...to 15a-6 cross-border activities.Act as a trusted advisor to senior stakeholders, delivering timely, practical guidance on complex...SeniorFull timeWork at officeRemote work$100k - $150k
...and have an open dialogue with your recruiter who can provide you more specific details for this role.Job Description:CIB Credit Compliance plays an important control and oversight role within TD Securities’ Corporate and Investment Banking (CIB) Credit function, supporting...SeniorFull timeLocal areaWork from homeFlexible hours$150k - $200k
...successful candidate will support the firm's compliance program across registered private equity... ...hybrid schedule in one of our following offices 3 days/week.Boston, New York,... ...experience, plus discretionary bonus.#MID_SENIOR_LEVELAt Franklin Templeton, we believe your...SeniorFull timeLocal area3 days per week- ...AnnuallyIndustry Hedge FundSelling Points Lead impactful compliance operations in a dynamic investment environment. Collaborate with senior leadership on strategic initiatives and... ...Job DescriptionSenior Hedge Fund Compliance Officer / Legal Counsel OverviewThe Senior Hedge...SeniorContract work
- ...Nscale is seeking a Senior Compliance Manager, Legal Securities, to build its securities and ethics compliance program from the ground up. You will draft MNPI and insider-trading policies, establish processes, and operate them daily, collaborating with Legal, Finance,...Senior
Nscale
New York, NY17 hours ago - ...currently supporting a global multi-strategy hedge fund with a new senior compliance hire in New York. The hire will primarily provide support to... ...strategies. Direct report into the Global Chief Compliance Officer. Responsibilities : Serve as primary point of...Senior
Rutherford Search
New York, NY1 day ago $150k - $190k
...right place to build a fulfilling career.Senior Tax ManagerThis role is responsible for... ...organizations within the BBH Multi-Family Office (MFO) Tax group. The position also... ...discrepancies and ensure completeness and compliance.Build and maintain strong relationships...SeniorFull timeSeasonal workWork at officeLocal areaImmediate start$160k - $180k
Department: ComplianceDivision: Risk & Compliance DivisionTitle: Senior Compliance Manager and Privacy Officer Job SummaryProvide advice and guidance to the Chief Compliance Officer, senior management, and business lines regarding compliance with non-AML/BSA laws and regulations...SeniorLocal area$104k - $177k
We’re seeking a future team member for the role of Senior Vice President, Consumer Compliance Officer - Global Payments & Trade. to join our Risk & Compliance team. This role is located in Pittsburgh, PA or Lake Mary, FL In this role, you’ll make an impact in the following...SeniorTemporary workWorldwideFlexible hours- ...that enables strategic objectives while appropriately managing compliance risk. Build a deep understanding of assigned business... ...transformation initiatives preferred. Prior experience as an HCC or GCC officer/manager preferred. Demonstration of leveraging digital...Senior
Jobtailor
New York, NY17 hours ago - Lumio Dental - Sr. Credentialing Specialist We're a dental partnership organization dedicated to preserving the integrity of private practice. We currently serve patients in Oklahoma, Arkansas, Kansas, Missouri, and Nebraska. Looking for a team who values you, your time...SeniorContract workWork experience placementPrivate practice
Lumio Dental
New York, NY1 day ago - A compliance-focused staffing agency in New York is seeking a Compliance Officer to ensure adherence to regulatory standards. Responsibilities include developing compliance programs, conducting audits, and providing training. The ideal candidate has a Bachelor's degree...Senior
- FalconX in New York is seeking a Compliance Officer to oversee Swap Dealer & Security-Based Swap Dealer regulatory programs and ensure strict... ...Operations to implement controls, monitor activities, and report to senior management, while staying ahead of evolving regulatory...Senior
- Marex is hiring a Surveillance Compliance Officer for its New York office. The role focuses on Trade Surveillance, E-communications and Voice review across US BD and FCM lines, with exposure to multiple asset classes and venues. You will contribute to the ongoing improvement...SeniorWork at office
- ...global financial institution that has recently established a new Compliance Regulatory Initiatives team within its U.S. Wholesale... ...part of this build-out, they are looking to add a Compliance Officer to support firmwide policy, procedure, and regulatory governance...Senior
- Growing clearing broker dealer is seeking an experienced Senior Compliance Officer to support the firm's compliance program across U.S. equities, listed options, futures, and electronic trading . This role partners closely with Trading, Operations, Risk, Technology, and...Senior
- Overview We are seeking a highly motivated individual to join our team as a Senior Compliance Officer. In this role, the individual will provide real-time regulatory guidance and oversight to the firm’s equities trading and sales teams. The role ensures that business activities...Senior
- Senior Compliance Officer Financial services New York , New York Permanent Feb 19, 2025 The Senior Compliance Officer will support the Alternative business. This includes investments in Direct Real Estate, Infrastructure Debt, and Private Credit. Create policies and procedures...SeniorPermanent employment
- Senior Compliance Officer/Deputy CCO to become CCO (New York, NY): Our client, a growing hedge fund focused looking to hire a Senior Compliance Officer or Deputy CCO. This individual will work closely with senior leadership and take on broad responsibility across the compliance...SeniorWork at officeWork from home
$100k - $135k
TD Bank is seeking a Senior Compliance Officer for its Monitoring and Testing team in New York, NY. This key role involves executing compliance testing, overseeing remediation efforts, and building global relationships with stakeholders. Candidates should have at least...Senior- Une institution financière basée à New York recherche un Senior Compliance Officer pour rejoindre son équipe de surveillance et de tests de conformité. Le candidat idéal doit avoir une expérience de 5 à 7 ans dans le domaine de la conformité, une formation en baccalauré...SeniorRemote job
- ...Job Title : Senior Compliance Officer Location : Hybrid/New York, NY Department : Compliance Advisory Reports To : Chief Compliance Officer Job Type : Full-Time About Prestige Development Group (PDG) Prestige Development Group (PDG...SeniorFull timeLocal area
Prestige Development Group
New York, NY3 days ago - ...including the design of initiatives to further enhance the global Compliance Management Program of the Knorr-Bremse Group Support the... ...up culture Act as a strategic advisor to regional compliance officers worldwide, guiding the implementation and continuous enhancement...SeniorRemote workWorldwide
$125k - $175k
Purpose of Role Marex is recruiting a Surveillance Compliance Officer to join the team at our New York office. The role focuses on Trade Surveillance (Trade Activity and Communications) across a range of asset classes including Cash Equity, Fixed Income, Commodities and...SeniorWork at office$125k - $175k
..., banks, hedge funds and asset managers. With more than 35 offices around the globe, and over 2,300 dedicated people enabling access... ...Purpose of Role: Marex is recruiting for a Surveillance Compliance officer to join the team our at our New York office. The role...SeniorFull timeWork at officeImmediate startMarex
New York, NYa month ago$100k
...we would like to meet you. We are seeking a highly motivated Compliance Officer to join our Private Funds Alternatives Compliance team . This... ...procedures. Prepare and deliver presentations and reports for senior management and stakeholders. Contribute to regulatory filings...SeniorPermanent employmentTemporary workWork at officeFlexible hours- Landing Point is seeking a Senior Compliance Officer/Deputy CCO in New York, NY, who will support the CCO in overseeing the firm’s compliance program with a clear path to the CCO position in 1-2 years. This role offers exposure to trading-related compliance issues in a...Senior
- TD Bank Group in New York, NY is seeking a Senior Compliance Officer to strengthen the US Compliance Monitoring and Testing Team and Core Compliance functions. The role focuses on developing and executing the annual testing plan, evaluating regulatory requirements, and...Senior
- Security Based Swap Dealer Senior Compliance Officer Serve as the leader in all aspects of compliance associated with the SBSD and partner with various business units to aid in achieving their objectives post approval and implementation. Work closely with management and...SeniorFull time
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Compliance Officer. Be the first to apply!
Related searches
- hr compliance coordinator New York, NY
- regulatory reporting analyst New York, NY
- regulatory affairs specialist New York, NY
- financial compliance analyst New York, NY
- entry level compliance officer New York, NY
- medicare compliance specialist New York, NY
- senior compliance analyst New York, NY
- quality compliance specialist New York, NY
- risk compliance officer New York, NY
- bsa aml compliance officer New York, NY