Compliance Officer

Own and evolve the firm's compliance program, policies, and code of ethics across all business lines. Serve as primary liaison with regulators, including the SEC, FINRA, NFA, and other federal and state authorities; manage examinations, inquiries, and filings. Oversee AML, KYC, and sanctions (OFAC) programs, including suspicious activity monitoring and reporting. Monitor regulatory developments and translate them into practical guidance for the business. Lead compliance risk assessments, testing, surveillance, and remediation of identified issues. Advise senior leadership on compliance risks affecting new products, markets, and strategic initiatives. Build, mentor, and scale a high performing compliance team; foster a strong culture of compliance. Deliver compliance training and manage employee certifications, personal trading, and conflicts of interest programs. This high visibility role reports to the Group Chief Compliance Officer, requiring 10+ years of financial services experience with 5+ years in senior leadership.