Senior Compliance Officer

Our client, a Wealth/Portfolio Management firm located in Woodbury, NY is looking to bring on a Senior Compliance Officer to join their team. This position will report directly to upper management, and is open to hybrid flexibility. Position Summary The Senior Compliance Officer is responsible for supporting and enhancing the firm’s compliance program to ensure adherence to all applicable regulatory requirements governing wealth management and financial advisory activities. This role oversees regulatory compliance initiatives, monitors internal controls, conducts risk assessments, and provides guidance to advisors and operational teams regarding industry regulations, policies, and ethical standards. The Senior Compliance Officer plays a key role in maintaining the integrity of the firm’s compliance framework while helping mitigate regulatory, operational, and reputational risk. Regulatory Compliance & Oversight Monitor and ensure compliance with applicable SEC, FINRA, state, and other regulatory requirements. Assist in the development, implementation, and maintenance of the firm’s compliance policies and procedures. Conduct periodic compliance reviews, testing, and surveillance activities across advisory and brokerage operations. Review and monitor advertising, marketing materials, client communications, and social media content for regulatory compliance. Oversee regulatory filings, disclosures, and reporting requirements, including Form ADV updates and annual compliance reviews. Maintain compliance documentation and records in accordance with regulatory retention requirements. Risk Management Identify potential compliance and regulatory risks and recommend corrective actions. Perform risk assessments related to business operations, new products, and strategic initiatives. Investigate compliance issues, exceptions, and escalated matters, and document findings appropriately. Assist with internal audits and coordinate responses to regulatory examinations and inquiries. Advisory Support & Training Serve as a compliance resource to financial advisors, management, and operational teams. Provide guidance on suitability, fiduciary obligations, trading activities, outside business activities, gifts and entertainment, and other regulatory matters. Develop and conduct compliance training programs for employees and advisors. Promote a culture of compliance, ethics, and regulatory awareness throughout the organization. Monitoring & Surveillance Review transactions, account activity, and employee conduct for adherence to firm policies and regulatory standards. Monitor personal trading, electronic communications, and conflicts of interest. Assist with AML (Anti-Money Laundering), KYC (Know Your Customer), and privacy compliance initiatives. Support cybersecurity and data privacy compliance efforts in coordination with IT and operations teams. Collaboration & Leadership Work closely with senior leadership on compliance strategy and regulatory developments. Assist with vendor due diligence and third-party risk management reviews. Mentor junior compliance staff and support departmental process improvements. Participate in special projects and regulatory initiatives as assigned. Qualifications Bachelor’s degree in Finance, Accounting, Business Administration, Legal Studies, or related field required. 5+ years of compliance experience within wealth management, registered investment advisory (RIA), broker-dealer, or financial services environments. Strong knowledge of SEC, FINRA, and state regulatory requirements. Experience with compliance testing, surveillance, and regulatory examinations. Familiarity with AML, KYC, privacy regulations, and fiduciary standards. FINRA licenses such as Series 7, 24, 63, 65, or 66 are a plus. Professional certifications such as CRCM, IACCP, or ICA certifications are a plus. Knowledge, Skills & Abilities Strong understanding of wealth management products, advisory services, and financial markets. Excellent analytical, organizational, and problem‑solving skills. Ability to interpret and apply complex regulatory requirements. Strong written and verbal communication skills. High level of integrity, professionalism, and attention to detail. Ability to manage multiple priorities and work independently in a fast‑paced environment. Proficiency in Microsoft Office Suite and compliance monitoring software. #J-18808-Ljbffr