About the Opportunity
A global financial institution is seeking a AVP Compliance to join its U.S. broker-dealer compliance team supporting North American corporate banking and capital markets activities.
This is a high-impact, generalist compliance role within a lean team, offering strong visibility, ownership, and exposure to cross-border (U.S./UK) regulatory frameworks.
The platform supports a range of businesses including:
- Debt Capital Markets
- Bond Syndicate
- Private Placements
- FX, Rates, and Credit Sales & Trading
Role Overview
- Reports into and supports the Chief Compliance Officer
- Broad coverage across broker-dealer advisory, licensing & registration, and regulatory compliance
- Opportunity to take on meaningful responsibility in a build-phase environment
Key Responsibilities
Broker-Dealer Compliance & Advisory
- Advise front office teams on day-to-day compliance matters
- Support the ongoing development and maintenance of the compliance program
Licensing & Registration (Core Focus)
- Manage and support:
- Form U4 / U5 filings
- Broker-dealer filings (e.g., Form BD)
- FINRA continuing education & registrations
- Utilize FINRA Gateway (required) and ideally MCO
Employee Compliance Oversight
- Personal account dealing (PAD) & trade preclearance
- Outside Business Activities (OBA)
- Private investments and conflicts of interest
Control Room & Surveillance (Exposure)
- Restricted / Watch Lists
- Insider Lists and wall crossings
- Surveillance handled by a separate team
Policies, Procedures & Governance
- Draft and maintain compliance policies and WSPs
- Assist in aligning U.S. policies with an evolving international framework
- Contribute to building and enhancing supervisory structures
Regulatory & Risk
- Monitor FINRA and SEC regulatory developments
- Support audits, QA, and remediation efforts
- Assist with documenting and embedding controls
Must-Have Requirements
- Strong FINRA regulatory knowledge
- Hands-on experience with U4 / U5 / BD filings (required)
- Experience with:
- Trade preclearance
- OBAs
- Personal account dealing
- High attention to detail
- Ability to operate independently in a lean environment
- Strong written communication skills
- Comfortable interfacing with senior stakeholders
Preferred Qualifications
- FINRA Gateway experience (expected in practice)
- MCO experience (nice to have)
- Exposure to Control Room / capital markets compliance
- Series 7 (preferred, not required)
- Experience within:
- Foreign banks
- Smaller or lean broker-dealers
