Senior Compliance Specialist

The Senior Compliance Specialist supports and enhances the firm's compliance program to ensure adherence to Client, SEC, and other regulatory requirements within an independent broker-dealer environment. The role focuses on compliance monitoring, regulatory change management, policy development, testing, training, and supervisory oversight while partnering across the organization to strengthen compliance controls and processes. Key Responsibilities Maintain and update compliance manuals, policies, procedures, and supervisory controls Monitor and interpret Client and SEC regulatory developments and communicate impacts to management and staff Conduct compliance testing, monitoring, branch inspections, and support internal audits and regulatory inquiries Develop and deliver compliance training and promote a strong culture of compliance across the firm Qualifications 5+ years of compliance experience within the financial services industry Strong knowledge of Client and SEC rules within an independent broker-dealer environment Experience supporting correspondent clearing and custody relationships required Licenses SIE, Series 7, and Series 63 or 66 required Series 24 or equivalent supervisory license required