What are the responsibilities and job description for the Compliance Officer position at Outset Global?
Outset Global is seeking an experienced Compliance Officer to join our growing agency broker-dealer team in New York City. The ideal candidate will bring a strong understanding of U.S. securities regulations, trade reporting, and broker-dealer oversight, along with the judgment and communication skills to guide a fast-paced, institutional trading business.
Responsibilities
Oversee daily and periodic compliance monitoring and testing for broker-dealer operations.
Ensure adherence to SEC, FINRA, and state regulatory requirements.
Manage trade reporting, books and records, and regulatory filings including Form BD, FOCUS (in tandem with the CFO) , and CRD updates.
Conduct internal reviews and support external exams and audits.
Maintain and enhance Written Supervisory Procedures (WSPs) and the firm’s compliance manual.
Advise management and trading teams on regulatory developments and best practices.
Deliver compliance training and maintain documentation of supervisory controls
Qualifications
Bachelor’s degree required; JD or advanced degree preferred.
5 years of compliance experience within a FINRA-registered broker-dealer environment.
A proven track record of building an AML and trade surveillance framework.
In-depth knowledge of FINRA, SEC, and CAT reporting obligations.
Excellent analytical, organizational, and written communication skills.
Ability to operate both independently and collaboratively in a dynamic environment.
Active Series 7, 14, 24, or equivalent registrations strongly preferred.
This is a full-time, on-site role based in Midtown Manhattan with competitive compensation and opportunities for advancement within a global trading organization.