Trade Compliance Officer

Our client is a leading self-clearing broker-dealer specializing in public equities trading. As part of their growth and continued focus on regulatory excellence, they are seeking a skilled Compliance Associate/Officer to join their team in New York, NY.

This role is ideal for an experienced compliance professional who brings deep knowledge of FINRA and SEC regulations and thrives in a dynamic trading environment. The successful candidate will play a critical role in monitoring trading activity, developing policies, and ensuring regulatory compliance across all business operations.

What YOU get to DO at this growing company:

• Monitor public equities trading activity to ensure adherence to FINRA, SEC, and internal regulatory policies.

• Collaborate closely with traders to support compliant trade execution practices.

• Develop and maintain internal policies and procedures aligned with current regulatory requirements.

• Provide training and compliance guidance to various internal stakeholders.

• Conduct regular compliance risk assessments and internal audits.

• Investigate compliance issues and escalate as appropriate.

• Respond to inquiries and information requests from regulatory bodies.

• Stay current on regulatory developments and update policies accordingly.

What you NEED to SUCCEED in this challenging role:

• Bachelor's degree in Business Administration, Finance, Legal, or related field.

• 4+ years of experience in public equities trading compliance.

• Series 7 license required; Series 24 preferred or must be obtained upon hiring.

• Strong working knowledge of FINRA and SEC rules and regulations.

• Experience using Trillium software for trade compliance.

• Demonstrated success in developing and implementing trading compliance policies.

• Strong analytical, organizational, and communication skills.

• Ability to operate independently and collaborate with cross-functional teams.

What's in it for YOU?

• Competitive salary range: $120,000 – $175,000 annually, based on experience.

• Located in New York, NY with potential exposure to industry-leading compliance practices.

• Opportunity to work within a team dedicated to innovation and regulatory excellence.

• Professional growth through ongoing training and development initiatives.

• Engaging work culture focused on delivering compliance solutions across a fast-paced trading environment.

INDSJ