Compliance Officer

Monitor and administer the Firm's Compliance and AML programs to ensure regulatory adherence. Review and maintain staff personal dealing accounts, restricted lists, and trade pre-clearance while managing compliance training and certifications. Conduct KYC and AML reviews for new customer accounts, process broker-dealer licensing submissions, and file regulatory reports accurately. Evaluate policy effectiveness, investigate compliance issues, and run required FINRA, OFAC, and FinCen reports. Participate in internal projects and complete ad hoc requests as instructed. Maintain professional development through seminars and workshops to stay current on broker-dealer compliance developments.