What are the responsibilities and job description for the Senior Compliance Officer position at Flex Employee Services?
Are you ready for the next step in your career?
Flex Employee Services USA, LLC is here to support you along your journey. We are actively seeking talented individuals to fill the following opportunity. If this sounds like you (or someone you know), we’d love to connect!
About the Job
- Title: Senior Compliance Officer
- Term: Contract
- Location: New York, NY (on-site)
- Referral Bonus: $500
Qualifications
- 7–10 years in U.S. broker-dealer compliance or assurance, with SEC/FINRA exposure across reporting, exams, and supervisory controls. FINRA Series 7, 14, 27, or 27 preferred
- Hands-on experience with FINRA Gateway, CAT/CAIS, EBS/LOPR, short‑interest filings, AuditBoard/PolicyHub/SharePoint, and workflow trackers (e.g., JIRA).
- Strong grasp of FINRA Rules 3110/3120/3130/3310, SEC 17a‑3/17a‑4, and interfaces with 15c3‑1 / 15c3‑3 in Finance/Operations contexts.
- Demonstrated exam management (mock exams, evidence packs, findings tracking, remediation plans).
- Excellent writing, critical thinking, stakeholder management, and project management skills.
- Experience in Finance, Treasury/Operations coverage (e.g., cash movements, sweeps, funding, custody interfaces).
Core competencies
- Regulatory judgement: translates rules into practical, auditable controls.
- Program management turns obligations into plans with owners, milestones, and artifacts.
- Communication: crisp writing (policies, memos, exam responses) and calm, credible regulator engagement.
- Data & evidence: disciplined approach to documentation, retention, and issue closure.
Ready to take the next step? Click "Interested" to kickstart your journey toward a rewarding career!
Salary : $125 - $150