VP, Compliance Officer

Job DescriptionOne of the nation's largest investment brokerage and securities firm has two openings, a VP Compliance Officer and a VP, Capital Markets Compliance Officer.The Vice President, Capital Markets Compliance Officer is responsible for acting in an advisory capacity to the Capital Markets activities including equity market making sales, trading, research, syndicate and investment banking activities. This role will be responsible for creating and updating the Capital Markets policies and carries out regular testing of the Capital Markets supervisors’ work product.Responsibilities include, but are not limited to:Assist with the design and execution of regulatory compliance testing for Capital Markets business; test compliance with policies and standards and identify key risk control gaps and deficienciesWork with the business supervision team to ensure all applicable rules and the products supported are identified to ensure testing priorities can be evaluated and established while maintaining accuracyWork closely with other compliance colleagues to ensure consistency among execution of testing and interpretation of rulesAssist in the monitoring of the Capital Markets Division’s compliance with SEC, FINRA and other applicable regulationsKeep up-to-date on changes in federal and state compliance laws and regulations impacting the group of assigned compliance focus area(s)Advise line of business supervision staff on emerging compliance issues, and assist in developing policies, procedures, and risk management analysesConduct branch office audits for Capital Markets locations and assist the CEO in Annual Market Access Testing for Capital Markets activitiesDraft and update Capital Markets Policies and Written Supervisory Procedure and work with the CCO in obtaining information and documentation for Capital Markets-related inquiries and examinationsAssist with programs for educating and training personnel on compliance and regulatory topicsVice President, Compliance OfficerVice President, Compliance Officer to provide expert advisory support to our Advanced Clearing, Prime Services Division, and the Fixed Income, Commodities, Currencies, and Stock Lending Division. This role will also work closely with our Operations Department. The ideal candidate will be responsible for developing and updating policies, conducting supervisory control testing, and ensuring that the firm maintains strict compliance with industry regulations. This position reports directly to the Chief Compliance Officer (CCO) and requires a candidate based in the New York City area for a hybrid work arrangement.Key Responsibilities:Design and implement compliance testing programs for the ACaPS, FICCS, and Operations departments. Conduct regular testing to ensure adherence to firm policies and regulatory standards, and identify areas of risk or non-compliance. Collaborate with business supervisors to ensure comprehensive coverage of applicable regulations across the firm’s product offerings. Establish accurate priorities for testing. Partner with compliance colleagues to maintain consistency in rule interpretations and compliance testing processes. Monitor compliance with SEC, FINRA, and other relevant regulations. Stay current on regulatory updates and ensure business practices reflect the latest compliance laws and requirements. Advise business leaders on emerging compliance issues, and assist in the development of updated policies, procedures, and risk management strategies. Conduct periodic audits of branch offices and contribute to the firm's overall compliance framework, including involvement in the Firm’s annual 3120 testing. Assist the CCO with annual market access testing related to FICCS activities and inquiries. Draft and update the ACaPS, FICCS, and Operations Department policies, ensuring all supervisory procedures are documented and maintained accurately. Collaborate with the CCO to address inquiries from regulatory bodies, including SEC and FINRA. Support the development of training programs for personnel on compliance and regulatory topics to ensure firm-wide awareness and understanding. Undertake additional compliance-related tasks as needed. Required Qualifications and Skills:Bachelor's Degree from an accredited institution. Strong expertise in correspondent clearing and prime brokerage services. In-depth knowledge of institutional fixed income trading operations. FINRA Series 7 and 24 licenses required. Familiarity with key regulatory frameworks, including Reg SHO, Reg NMS, Rule 605/606, SEC Rule 15c3-5, TRACE, and CAT reporting requirements. Excellent organizational skills with the ability to manage multiple tasks efficiently without compromising quality or accuracy. Strong communication and presentation skills, capable of working across different departments and seniority levels. Analytical mindset with robust problem-solving skills. Attention to detail, ensuring thoroughness and precision in compliance activities. Proficiency in Microsoft Office Suite (Outlook, Word, Excel, PowerPoint). Willingness to travel approximately 30%. This is a key leadership position within the compliance team, offering an exciting opportunity for growth and development in a fast-paced, regulatory environment.Company DescriptionWe specialize in staffing exceptional IT Professionals to industry leading companies in the US and abroad. Through our dedicated and ethical approach, we represent the finest employers and professionals in the marketplace today. This position is with one of our clients.We specialize in staffing exceptional IT Professionals to industry leading companies in the US and abroad. Through our dedicated and ethical approach, we represent the finest employers and professionals in the marketplace today. This position is with one of our clients.