Compliance Officer - Broker Dealer RIA

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 affiliatesAdvise on SEC and FINRA regulations, including cross-border broker-dealer requirementsAct as a trusted advisor on complex, time-sensitive regulatory mattersCompliance Framework & Risk Management:Identify, assess, and prioritize compliance and regulatory risksMaintain and enhance policies, procedures, and internal controlsEnsure adherence to market conduct, conflicts management, and information barrier frameworksOversee compliance issue tracking, escalation, and remediationAML, KYC & Onboarding:Oversee client onboarding processes, including AML/KYC due diligenceSupport and enhance the firm’s AML programGovernance, Reporting & Audits:Manage record-keeping obligations and regulatory reporting requirementsDeliver management reporting on compliance risks and emerging regulatory themesSupport internal and external audits, ensuring readiness and remediation of findingsLiaise with regulators and support regulatory examinations and inquiriesBusiness Enablement:Support new business initiatives, transactions, and product approvalsProvide compliance input on strategic projects and business change initiativesMonitoring & Employee Oversight:Oversee personal account dealing and employee compliance activitiesSupport licensing and registration processesStakeholder & Global Collaboration:Collaborate with Legal, Control Room, Surveillance, IT, Operations, and third-party vendorsWork closely with global Compliance teams to ensure consistency
Requirements:7+ years of Compliance experience at a Broker Dealer or an RIAActive FINRA Series 14 LicenseKnowledge of SEC/FINRA Regulatory Compliance, Reg 15a-6, Client Onboarding and Compliance MonitoringBachelor’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 $150-190k base plus 20+% target bonus. If your profile matches the above criteria, please email me directly and add me on LinkedIn, [email protected]