New York, New York
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About the Job Title: Senior Compliance Officer Term: Contract Location: New York, NY (on-site) Referral Bonus: $500 Qualifications 7 10+ years in U.S. broker-dealer compliance or assurance, with SEC/FINRA exposure across reporting, exams, and supervisory controls. FINRA Series 7, 14, 27, or 27 preferred Hands-on experience with FINRA Gateway, CAT/CAIS, EBS/LOPR, shortinterest filings, AuditBoard/PolicyHub/SharePoint, and workflow trackers (e.g., JIRA). Strong grasp of FINRA Rules 3110/3120/3130/
Easy Apply
Contract
$125 - $150