Job Opening: Assistant Vice President, Broker Dealer Compliance
Our client at a global financial services firm is looking to add a Compliance AVP to support its U.S. broker-dealer compliance function. This is a high-visibility opportunity within a lean team environment offering broad exposure across advisory, licensing & registration, governance, and capital markets compliance.
The role will partner closely with senior compliance leadership and business stakeholders across investment banking and capital markets activities.
Key Responsibilities:
* Support day-to-day broker-dealer compliance advisory across capital markets and banking businesses
* Manage licensing & registration activities including U4/U5 filings, Form BD filings, and FINRA continuing education requirements
* Work within FINRA Gateway and support ongoing regulatory filings and maintenance
* Oversee employee compliance matters including personal account dealing, trade preclearance, outside business activities, and conflicts disclosures
* Assist with compliance policies, written supervisory procedures (WSPs), and governance documentation
* Support regulatory initiatives, audits, remediation efforts, and control enhancements
* Gain exposure to Control Room activities including restricted lists, insider lists, and wall crossings
What They’re Looking For:
* Strong hands-on FINRA regulatory and broker-dealer compliance experience
* Direct experience with U4/U5 filings and FINRA Gateway
* Knowledge of personal trading, OBAs, and employee compliance oversight
* Ability to operate independently in a lean, fast-moving environment
* Strong communication skills and ability to interact with senior stakeholders
* Exposure to capital markets, Control Room, or cross-border compliance environments is a plus
Why This Role:
* High-impact role with strong visibility and ownership
* Broad exposure across advisory, regulatory, and governance functions
* Opportunity to help build and enhance compliance infrastructure
* Collaborative global environment with exposure to U.S. and international stakeholders
