Head of Compliance

***Head of Compliance*****
New York, NY (Wall Street) | Full-Time
Reports Directly to the COO
A well-established broker-dealer headquartered in NYC is seeking a
Head of Compliance
to lead and execute the firm’s regulatory program. This is an opportunity for a strong compliance leader who is ready to step into the top seat.
This role is highly hands-on and ideal for someone coming from a small-to-midsize broker-dealer environment.
What You’ll Own:
-
Full oversight and enhancement of the firm’s
Written Supervisory Procedures (WSPs)
-
Direct management of
FINRA and SEC examinations, inquiries, and regulatory filings
-
Trade surveillance, supervisory reviews, suitability, and account monitoring
-
AML/KYC oversight and regulatory reporting (Form BD, U4/U5, etc.)
-
Web CRD filings and regulatory system management
-
Partnership with the COO and senior leadership on risk mitigation and strategic initiatives
-
Ongoing compliance training and regulatory updates across the firm
What We’re Looking For:
-
Active
Series 24 and Series 7
(required)
-
7–10+ years broker-dealer compliance experience
-
Experience serving as point person during FINRA exams
-
Deep knowledge of supervision, sales practices, trading, and AML requirements
-
Strong command of WSP drafting and enhancements
-
Comfortable operating in a lean, accountable, execution-focused environment
Ideal Background:
-
Currently a VP of Compliance, Deputy CCO, or Senior Compliance Officer
-
Experience in a small to midsize broker-dealer
-
Strong familiarity with regulatory technology and surveillance systems
-
Comfortable rolling up sleeves
If you’re looking for a true step-up opportunity with direct executive visibility and ownership, this could be the right next move.