Vice President - Compliance Manager

What You'll Be Doing

As the Vice President of Compliance, you will play a critical role in shaping and enhancing our compliance program in a fast-growing environment.

• Partner closely with the Chief Compliance Officer on the administration and enhancement of the compliance program.
• Oversee compliance coverage for self-clearing equities and options activities.
• Maintain and enhance compliance policies, risk assessments, and related documentation.
• Advise teams on regulatory requirements from SEC, FINRA, and exchanges.
• Manage control-room responsibilities, including information barriers and conflicts management.
• Support compliance matters related to investment banking and brokerage activities.
• Assist with regulatory examinations, audits, and internal testing.
• Deliver compliance training and serve as a trusted resource across the firm.

Who We're Looking For

• Active FINRA Series 7 license is required; additional registrations a plus.
• 5+ years of compliance experience in a regulated financial services environment.
• Direct experience with self-clearing and equities or listed-options businesses is preferred.
• Strong understanding of broker-dealer regulations and supervisory structures.

Why This Role

This is an exceptional opportunity to join a dynamic firm at the forefront of financial services. You'll have significant impact on compliance strategies while collaborating with top professionals in a high-visibility role.