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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: $150,000 – $200,000


  • Rulebook and product reviews
  • Regulatory reporting
  • Developing written policies and procedures, with review and testing of existing procedures
  • Working with the global surveillance function
  • Acting as a point of contact for the business on matters relating to conduct compliance, employee compliance training
  • Monitoring the regulatory horizons for requirements
  • Drafting and maintaining management information, internal briefings, processes, and procedures documentation
  • Collaboration with the Legal Team and advising businesses from a compliance/regulatory perspective