JCW Group

Compensation

Full Description

Our client, a broker-dealer AVP Compliance Officer to support its compliance program across equity and fixed income sales and trading, capital markets, and research distribution. This role is ideal for a professional with a strong foundation in broker-dealer compliance who’s looking to grow within a global financial institution. Key Responsibilities: • Support implementation and maintenance of compliance policies and procedures in line with SEC and FINRA regulations. • Conduct surveillance of trading activity, including reviews of electronic communications, voice recordings, and trade blotters. • Assist in research distribution reviews (including third-party and issuer-paid). • Help prepare regulatory filings and responses to FINRA and SEC inquiries. • Review capital markets transactions for compliance with Reg M and FINRA Rules 2241/2242. • Support KYC/AML onboarding for institutional clients and counterparties. • Assist with compliance training, monitoring, and recordkeeping (e.g., restricted lists, OBAs, personal trading). • Collaborate with global compliance colleagues to align with cross-border policies and standards. Qualifications: • 4+ years’ experience in broker-dealer compliance covering sales & trading and capital markets. • Solid understanding of SEC, FINRA, and Federal Reserve frameworks. • Familiarity with Reg M, Reg AC, FINRA 2210, 2241, 2242, and related requirements. • Excellent communication, analytical, and organizational skills. • Bachelor’s degree required; Series 7, 24, or 14 preferred. • Team-oriented, proactive, and detail-focused with high integrity and accountability.