A newly created role at full-service Broker Dealer in Emerging Markets due to team growth, this is an excellent chance to eventually succeed the Chief Compliance Officer, who plans to retire in the next ~5 years.
Senior Compliance Officer
Full-Service Broker Dealer & Investment Bank Specializing in Emerging Markets
Location: Greenwich, CT (Train Accessible, Walking Distance)
Compensation: $150K base (stretch) + ~20% discretionary bonus
Schedule: 4-5 days in office; full-time for first 6-12 months for training
Why Join Us?
- Small Team, Big Impact: 30 employees locally, ~100 globally.
- Stability: Family-friendly, low turnover, employees often stay 20+ years.
- Growth Opportunity: Succession path to Chief Compliance Officer in ~5 years.
- Unique Perks: Bring kids or pets to work, monthly team events, extravagant holiday parties, and international travel (~2-3 trips/year to great locations like Spain, Brazil, and Singapore).
- Generous Benefits: 75% company-paid medical/dental, flexible PTO, better-than-bank plans.
What We’re Looking For
- Experience: 4-10+ years in compliance, preferably in financial services.
- Certifications: Series 7 required; Series 24 preferred.
- Skills: Quick learner, assertive communicator, and proactive problem-solver.
- Bonus: Spanish or Portuguese (or any foreign language) proficiency for global engagement.
What You’ll Do
Compliance Oversight:
- Supervise adherence to regulatory requirements, including audits, filings, and surveillance.
- Act as a liaison with regulatory bodies, managing inquiries and examinations.
- Implement and enhance compliance policies, procedures, and internal controls.
Anti-Money Laundering (AML):
- Conduct AML surveillance, file SARs as necessary, and deliver AML training.
- Stay up-to-date with evolving AML regulations and best practices.
Regulatory Risk Management:
- Advise senior management on legal, regulatory, and compliance risks.
- Design and execute corrective and preventative actions for compliance issues.
Training and Supervision:
- Develop and maintain written supervisory procedures (WSPs).
- Conduct compliance training and oversee monitoring activities such as trade surveillance and personal account dealing.
Regulatory Reporting:
- Ensure public communications align with regulatory guidelines.
Ready to grow with a dynamic, supportive team?
Apply now & send your resume to alex.muzaurieta@roberthalf.com !
