Role details

Compliance Officer

New York   •  Permanent

Bullet points

  • Fantastic International Financial Institution
  • Excellent employee benefits and great work/life balance

About Our Client

The organization are a European based financial services institution who predominantly focus on Wholesales Banking and Insurance.

Job Description

The Compliance Officer will based in New York (Midtown) and will be responsible for:

    • Creating and enhancing policies and procedures
    • Providing advice to Sales & Trading
    • Performing surveillance reviews
    • Monitoring and testing policies and procedures
    • Producing statistical / analytical reports for senior management
    • Conduct risk assessments of current and proposed business activities.
    • Enhancing and overseeing Annual Compliance training
    • Liaison with the organization's various regulators FINRA, SEC, NFA CFTC, FED

The Successful Applicant

The successful candidate MUST have Bank and Broker Dealer experience and will have the following profile:


  • Bachelor Degree (Required); MBA (Preferred)
  • Series 7, 24, 4


  • A compliance officer (Vice President) with 5+ years' experience
  • Bank FRB Regulations Compliance / Broker/Dealer / Swap dealer - experience
  • Detailed knowledge of Excel / Word / Power Point.

Personal Competencies:

  • Excellent communications skills - both written and verbal
  • Ability to work in a team environment
  • Ability to work independently and take issues from start to finish

What's on Offer

Competitive salary + excellent benefits such as:

  • Minimum 4 weeks paid vacation,
  • 100% tuition reimbursement,
  • Gym membership covered
  • Great working hours.

Apply for this job

Click the Apply or LinkedIn button below or contact Grant Hall quoting job reference 1197147
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