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Financial Services Client

Compliance Officer

  • New York, NY
  • Full Time

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Office Status: Hybrid (3 days per week in office)
Salary: $160,000


  • Develop and perform surveillance and supervisory reviews across multiple subject matters.
  • Coordinate and work with our inquiry team on related inquiries.
  • Drive compliance innovation initiatives with a focus on greater automation, increased efficiency, and trend analysis.
  • Strong working knowledge of broker-dealer regulation, including securities and commodities laws and SEC, CFTC, and SRO Rules.