Senior Compliance Officer

Senior Compliance Officer – Investec USA Investec USA's Compliance Advisory function is based in our New York office and supports multiple business lines, with a primary focus on a registered broker‑dealer. You will be a key member of a compliance team, reporting to the Chief Compliance Officer and working closely with global colleagues to deliver consistent, commercially‑aware advice across our international platform. Responsibilities Provide day‑to‑day regulatory and policy advice to business lines, including a 15a‑6 broker‑dealer, specialist lending desks, and global affiliates with a focus on equity markets. Advise on U.S. securities regulations (SEC, FINRA) and broker‑dealer obligations, including requirements applicable to 15a‑6 cross‑border activities. Act as a trusted advisor to senior stakeholders, delivering timely, practical guidance on complex and time‑sensitive matters. Oversee and manage client onboarding and AML/KYC processes, including due diligence and documentation. Oversee and manage various record‑keeping obligations of the Firm pertaining to business lines, supervision and employee oversight. Support the registration and licensing function. Assist with overseeing and managing the AML program of the Firm. Oversee Personal Account dealings and other regulated activities of the Firm's employees. Assist with managing various internal and external audits of the Firm, ensuring readiness and remediation of findings. Identify, assess, and prioritise regulatory and compliance risks across covered business lines. Regularly update a well‑established compliance program, including policies, procedures, and controls aligned to U.S. regulatory requirements and global, parent‑company standards. Support new business initiatives, transactions, and product approvals from a compliance perspective. Provide guidance and ensure adherence to market conduct, conflicts clearance and information barrier requirements across all relevant activities. Coordinate compliance issue tracking, escalation, and remediation, ensuring appropriate governance and documentation. Deliver management reporting on compliance risks, themes, and emerging regulatory developments. Assist the Firm's management with regulatory inquiries, examinations, and responses. Maintain strong awareness of evolving regulatory expectations and industry practices. Assist with developing and delivering targeted compliance training to business stakeholders. Draft and maintain policies and procedures consistent with U.S. regulatory requirements and global standards. Promote a strong culture of compliance and conduct across the organisation. Partner with specialist teams including Legal, Compliance Advisory, Control Room, Surveillance, IT, Operations, Research and third‑party Compliance vendors. Collaborate with global Compliance colleagues (London, Johannesburg, Mumbai, etc.) to ensure consistency in approach and handling of cross‑border matters. Provide leadership, oversight, and mentorship to the Compliance Associate, fostering strong performance, development, and team effectiveness. Manage and develop junior team resources as part of the broader remit, with direct responsibility for the Compliance Associate. Qualifications FINRA Series 14 licence required; eligibility to obtain FINRA Series 24 licence is a plus. Master's degree (Compliance, Risk Management, Business or related field) with 7+ years’ relevant experience preferred, or Bachelor's degree required with 10+ years’ relevant experience. Professional certifications (e.g., FINRA licences, CRCM, CAMS or equivalent) strongly preferred. Significant experience in Compliance Advisory, Legal or Regulatory roles within FINRA‑regulated broker‑dealers. Demonstrated knowledge of U.S. securities regulations (SEC, FINRA rules) and the 15a‑6 broker‑dealer framework and cross‑border rules. Experience supporting complex transactions, new business activity, and regulatory risk assessments in a global financial institution. Benefits Investec offers a range of wellbeing benefits to support employees’ health, balance, and fulfillment inside and outside of work. The U.S. benefits offering will be discussed during the candidacy process. EEO Statement We actively seek out diverse talent and foster an inclusive environment, encouraging applications from people of all backgrounds and experiences. Everyone is encouraged to apply regardless of race, color, religion, sex, national origin, age, disability, veteran status, or any other protected characteristic. #J-18808-Ljbffr