Job Description

Job Summary:

An investment bank is seeking a Compliance Officer to support its compliance program, ensuring adherence to regulatory requirements and internal policies. The ideal candidate will assist with compliance monitoring, surveillance, regulatory filings, and compliance registrations while working closely with various business units to uphold the firm’s high compliance standards.

Direct Hire - Hybrid (3 days onsite) in NYC or Boston

Qualifications:

• 2-5+ years of compliance experience within financial services, preferably in investment banking, trading, or asset management.
• Series 7 preferred (or willingness to obtain within a reasonable timeframe).
• Strong knowledge of SEC and FINRA regulations.
• Experience with compliance monitoring systems, trade surveillance tools, and regulatory registration platforms (e.g., FINRA Gateway).
• Excellent analytical, communication, and problem-solving skills.
• Ability to work independently and collaborate effectively with cross-functional teams.
• Bachelor’s degree in finance, business, or a related field preferred.

Key Responsibilities:

• Assist in implementing and maintaining the firm’s compliance policies and procedures.
• Conduct trade surveillance, review electronic communications, and escalate potential issues as needed.
• Support regulatory reporting and filings, including SEC, FINRA, and other regulatory submissions.
• Manage compliance registrations, ensuring employees meet regulatory licensing requirements (e.g., FINRA U4 filings, amendments, terminations, and CE tracking).
• Perform compliance reviews related to research, investment banking, and trading activities.
• Monitor and maintain restricted and watch lists, ensuring proper information barriers are upheld.
• Assist with employee compliance matters, such as personal trading, gifts, and outside business activities.
• Conduct compliance training sessions for employees and provide guidance on regulatory developments.
• Work with internal teams to respond to regulatory inquiries, audits, and examinations.
• Stay up to date with industry regulations and best practices to ensure compliance with evolving rules.

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