Compliance Officer

The Compliance Officer supports the Chief Compliance Officer in administering and enforcing the firm's comprehensive compliance program across its dual registration as a FINRA-member broker-dealer and SEC-registered investment advisor. This role is responsible for compliance testing and surveillance, the development and maintenance of written supervisory procedures (WSPs) and compliance policies, serving as the primary liaison for regulatory inquiries and examinations, and fulfilling the duties of Anti-Money Laundering (AML) Compliance Officer under the firm's Bank Secrecy Act program. The Compliance Officer works closely with supervision, registered representatives, investment advisory personnel, operations, and senior management to foster a strong culture of compliance.

Key Responsibilities

Compliance Testing & Surveillance

• Design, execute, and document a risk-based compliance testing program, assessment and recommendations covering broker-dealer (Rule 3120) and investment advisory (rule 206(4)-7) businesses
• Perform branch office examinations and desk reviews, documenting findings and tracking corrective actions through to resolution.
• Maintain testing schedules, workpapers, and exception logs in compliance with FINRA Rule 3110 and the firm’s supervisory framework.

Policy & Procedure Development

• Draft, revise, and maintain Written Supervisory Procedures (WSPs), compliance policies, and related guidance documents tailored to Firm broker-dealer and RIA operations.
• Monitor regulatory developments — including FINRA rule filings, SEC releases, and applicable state regulations — and translate changes into timely updates to firm procedures.
• Develop and deliver compliance training programs and materials to staff; maintain training records and completion tracking.
• Conduct annual reviews of all WSPs and compliance manuals; coordinate sign-off and version control.

Regulatory Liaison — FINRA & SEC

• Serve as the primary point of contact for FINRA and SEC examination teams, coordinating document requests, scheduling interviews, and managing information flow throughout examinations and inquiries and tracking of remediation commitments and deadlines.
• Prepare, review, and submit regulatory filings and responses, including FINRA Rule 8210 requests, SEC examination information requests, and Form U4/U5 disclosures.
• Monitor and brief management on FINRA and SEC examination priorities and emerging enforcement trends;
• Manage FINRA Gateway filings, CRD/IARD maintenance, and other regulatory registration obligations in coordination with operations.

Anti-Money Laundering (AML) Officer

• Serve as the firm’s designated AML Compliance Officer, with primary responsibility for designing, implementing, and administering the AML program in accordance with the Bank Secrecy Act (BSA), FinCEN regulations, and FINRA Rule 3310.
• Oversee FINCEN 314(a) process and Customer Identification Program (CIP) and Customer Due Diligence (CDD) procedures, including enhanced due diligence for higher-risk accounts and beneficial ownership verification.
• Review and disposition AML exception alerts; investigate suspicious activity and, where warranted, prepare and file Suspicious Activity Reports (SARs) with FinCEN.
• Coordinate and conduct AML training for all applicable firm personnel
• Facilitate independent AML testing as required by FINRA Rule 3310(c);
• Monitor OFAC/sanctions screening processes

General Compliance Responsibilities

• Assist with the administration of the firm’s Code of Ethics, including review of personal securities transactions, outside business activities (OBAs), private securities transactions, and political contributions (Pay-to-Play).
• Maintain the compliance calendar to ensure all regulatory deadlines, filings, and periodic review obligations are met.
• Prepare compliance reporting for the CCO, senior management, and, as applicable, the Board or Audit Committee.
• Assist with due diligence reviews of third-party vendors, sub-advisors, and business relationships with compliance implications.

Education

• Bachelor’s degree required; emphasis in Finance, Business, Law, or a related field preferred.

Experience

• Minimum 4–6 years of compliance experience within a FINRA-registered broker-dealer and/or SEC-registered investment advisor.
• Demonstrated experience conducting compliance testing, examinations, or audits in a regulated financial services environment.
• Hands-on experience drafting and maintaining WSPs and compliance policies.
• Direct experience managing or supporting FINRA and/or SEC examinations and responding to regulatory inquiries.
• Practical experience administering an AML program, Licenses & Certifications
• FINRA Series 7 and Series 24 (General Securities Principal) are preferred
• CAMS (Certified Anti-Money Laundering Specialist) designation strongly preferred.
• Additional licenses (Series 65/66, Series 4, Series 53) a plus depending on business lines.

Knowledge, Skills & Abilities

• Deep knowledge of FINRA rules, SEC regulations (including the Investment Advisers Act of 1940 and Securities Exchange Act of 1934), and BSA/AML requirements.
• Strong analytical skills with the ability to interpret complex regulatory guidance and apply it to firm-specific business practices with sound judgment
• Excellent written and verbal communication skills; ability to produce clear, well-organized policy documents and regulatory correspondence.
• High degree of organization and attention to detail, with the ability to manage multiple deadlines simultaneously.
• Proficiency with compliance and surveillance platforms (e.g., Actimize, Quest, or equivalent) and Microsoft Office Suite.
• Collaborative team player with the ability to build relationships with supervision across business lines while maintaining independence.

Working Conditions

This position can be fully remote; however, a hybrid schedule is preferred. Travel will be required for branch reviews, regulatory meetings, or industry conferences. The role may require availability outside standard business hours during regulatory examinations or time-sensitive compliance matters.