Compliance Officer - Broker Dealer / RIA

Job Description

Job Description

Robert Half Financial Services is recruiting for a Compliance Officer role for an International Broker Dealer and Investment firm located in midtown Manhattan, New York. Our client requires 7+ years of Compliance experience at a Broker Dealer or an RIA, with active FINRA Series 14 License and knowledge of SEC/FINRA Regulatory Compliance, Reg 15a-6, Client Onboarding and Compliance Monitoring. This role is hybrid remote requiring 4 days per week in the midtown Manhattan New York office.

This role will provide regulatory oversight and advisory support across multiple business lines, with a primary focus on the firm’s registered broker-dealer activities. Reporting to the Chief Compliance Officer, the successful candidate will act as a trusted advisor to senior stakeholders, ensuring the firm operates in compliance with U.S. securities regulations (SEC, FINRA) while maintaining alignment with global compliance standards.

Responsibilities:

Regulatory Advisory & Oversight:

• Provide day-to-day compliance advice across business lines, including broker-dealer (15a-6), specialist lending, and global affiliates
• Advise on SEC and FINRA regulations, including cross-border broker-dealer requirements
• Act as a trusted advisor on complex, time-sensitive regulatory matters

Compliance Framework & Risk Management:

• Identify, assess, and prioritize compliance and regulatory risks
• Maintain and enhance policies, procedures, and internal controls
• Ensure adherence to market conduct, conflicts management, and information barrier frameworks
• Oversee compliance issue tracking, escalation, and remediation

AML, KYC & Onboarding:

• Oversee client onboarding processes, including AML/KYC due diligence
• Support and enhance the firm’s AML program

Governance, Reporting & Audits:

• Manage record-keeping obligations and regulatory reporting requirements
• Deliver management reporting on compliance risks and emerging regulatory themes
• Support internal and external audits, ensuring readiness and remediation of findings
• Liaise with regulators and support regulatory examinations and inquiries

Business Enablement:

• Support new business initiatives, transactions, and product approvals
• Provide compliance input on strategic projects and business change initiatives

Monitoring & Employee Oversight:

• Oversee personal account dealing and employee compliance activities
• Support licensing and registration processes

Stakeholder & Global Collaboration:

• Collaborate with Legal, Control Room, Surveillance, IT, Operations, and third-party vendors
• Work closely with global Compliance teams to ensure consistency

Requirements:

• 7+ years of Compliance experience at a Broker Dealer or an RIA
• Active FINRA Series 14 License
• Knowledge of SEC/FINRA Regulatory Compliance, Reg 15a-6, Client Onboarding and Compliance Monitoring
• Bachelor’s Degree

The Compliance Officer role is located in midtown Manhattan New York so please only apply if you are able to travel to this location, have relevant experience for the role, and are eligible to work in the United States. The salary is dependent on experience, the range is $150-200k base plus 20+% target bonus. If your profile matches the above criteria, please email me directly and add me on LinkedIn, Trishan Khareghat