What are the responsibilities and job description for the Senior Compliance Officer position at HCM Staffing and Consulting?
Job Details
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, shortinterest filings, AuditBoard/PolicyHub/SharePoint, and workflow trackers (e.g., JIRA).
- Strong grasp of FINRA Rules 3110/3120/3130/3310, SEC 17a3/17a4, and interfaces with 15c31 / 15c33 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.
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Salary : $125 - $150