The IA Compliance Officer/Senior Compliance Officer will support the Chief Compliance Officer and Deputy Chief Compliance Officer – Wealth Management in all aspects of the Firm’s investment adviser compliance program, establishing and testing internal controls related to investment advisory services.

We are seeking a proactive and experienced Compliance Manager to develop, implement, and manage compliance programs, policies, and procedures at a new FINRA-registered broker-dealer. The ideal candidate will oversee supervisory functions, collaborate with regulators, and ensure the firm operates in compliance with all applicable requirements.

This individual will work closely with other members of the Legal and Compliance division, and collaborate with other departments across the firm including Fraud Operations, Product Support, and Engineering to support the Financial Intelligence Unit (FIU). Responsibilities include conducting in-depth investigations, filing SARs, and maintaining accurate metrics for FIU investigations and SAR filings.

Review communications intended to be distributed to members of the public to ensure they are consistent with SEC regulations, firm policies and procedures, and best practices, partner with marketing and growth teams to provide compliance guidance and ensure adherence to policies and procedures. Assist with the maintenance of and updates to compliance policies and procedures to reflect regulatory changes.

Lead the compliance program for the trading and prime brokerage business, supporting new business activity across multiple regulated entities. Work with various business units to ensure products and services are compliant with regulations, defining the long-term strategy for Trading Compliance in the evolving digital asset space.