Senior Vice President, Markets Compliance
confidentialNew York (NY)
Senior Vice President, Markets Compliance
Posted yesterday
confidentialNew York (NY)
SENIORITY
Manager
About the role
Senior Vice President, Markets Compliance
About the Company:
- Internationally recognized investment services firm
- IndustryFinancial Services
- TypePublic Company
Founded1784Employees10,001+Categories
FinanceFinancial Services
TradingBankingB2BConsulting & Professional Services
EnterpriseBrokerageEconomicsInvestment Banking
Investment Services
Personal Finance
WealthWorld Domination
Asset Management
Specialtiesfinancial servicesinvestment managementand investment servicesinvestment servicesand wealth managementwealth managementand bankingbankingcorporate trustasset servicingtreasury serviceswealth technologycentral clearingcollateral managementdepositary receiptsand credit servicesglobal marketsclearancecredit servicesand corporate trustand global tradeglobal tradeand payments
Business ClassificationsB2BEnterpriseAbout the RoleThe Company is in search of a Senior Vice President for its Markets Compliance team, with a focus on supporting the US Broker Dealer. The successful candidate will serve as a strategic partner to business and platform leads, Compliance, Finance, and Operations, providing expert advice on US broker dealer laws, rules, and regulations.
This high-visibility role requires a proactive approach to managing risk and influencing positive business outcomes in a fast-paced, innovative environment. Responsibilities include working cross-functionally to design, implement, and maintain a robust compliance program, conducting risk assessments, and collaborating on internal monitoring reviews.
The role also involves analyzing legislation, regulatory announcements, and industry practices to ensure compliance and supporting the Chief Compliance Officer in managing compliance programs for a FINRA broker dealer. Applicants for this role at the company should have a Bachelor's degree or professional certification, with 5-7 years of relevant compliance and/or financial services experience. A thorough knowledge of SEC and FINRA regulations, as well as solid understanding of compliance and risk management best practices, is essential.
The ideal candidate will have a proven ability to influence stakeholders at all levels and drive compliance initiatives in a collaborative, matrixed environment. Experience in the review of investment adviser and broker-dealer advertising and marketing materials is a plus. The company values a culture of excellence and is an Equal Employment Opportunity/Affirmative Action Employer.
Hiring Manager TitleChief Compliance Officer
FunctionsLegal
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