Senior Compliance Officer (Arlington)Alexander Chapman • Arlington, VA, United States
No longer accepting applications
Senior Compliance Officer (Arlington)
Alexander Chapman • Arlington, VA, United States
1 day ago
Job type
- Full-time
Job descriptionBachelors degree in Business, Law, Finance, Economics, or a related field. 810 years of compliance or regulatory experience within the securities industry. Minimum of 3 years in a supervisory or managerial role. FINRA SIE, Series 7, and Series 24 licenses preferred. Recognized compliance certification preferred. Strong understanding of consumer protection regulations and marketing guidelines. Excellent communication, critical thinking, and project management skills.
Now Hiring : Senior Compliance Officer | Securities Industry
Location : Arlington, Virgina - New York City - Chicago
Type : Full-Time
Compensation : Competitive base salary + quarterly bonus + full benefits package
About the Role
Our client, a leading firm in the securities industry, is seeking an experienced Senior Compliance Officer with 8+ years of regulatory and compliance experience . This role is ideal for a compliance professional looking to take on a senior leadership position within a fast-paced, collaborative environment.
Key Responsibilities :
- Partner with the Chief Compliance Officer to enhance and maintain the firms compliance program.
- Lead and manage firm-wide compliance projects and cross-functional initiatives.
- Develop, maintain, and update departmental standard operating procedures.
- Conduct internal investigations into compliance issues and ensure timely resolution.
- Perform regulatory research, draft memorandums, and provide actionable guidance to internal stakeholders.
- Prepare clear reports identifying risks, findings, and recommendations.
- Promote a strong culture of compliance throughout the organization.
- Stay informed on evolving industry regulations and best practices.
Qualifications :
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Compliance Officer • Arlington, VA, United States