Public Side Compliance Officer
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Job Summary
Providing front-line compliance advisory support, the remote Public Side Compliance Officer will assist in ensuring that public-side activities align with regulatory requirements and best practices while working closely with the Capital Markets Compliance Manager and the AML/KYC team.
Key responsibilities
- Offer daily compliance advisory support for public-side activities in Equities and Fixed Income sales and trading
- Assist in the creation and maintenance of public-side policies, controls, and supervisory oversight
- Collaborate with the AML/KYC Officer to manage client onboarding, due diligence, and ongoing compliance reviews
Required qualifications
- 3-5+ years of compliance experience, preferably at a broker-dealer
- Understanding of FINRA and SEC regulations relevant to sales and trading
- Strong analytical skills and problem-solving abilities
- Experience interfacing with client-facing business lines
- Eligibility to work permanently in the United States without sponsorship
Complete Job Description
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