Mission Staffing · 6 hours ago
Senior Compliance Specialist
NYC Metro Area
Contract
Hybrid
Senior Level
$60/hr - $65/hr
5+ years expMission Staffing is representing a global investment bank seeking a Compliance professional with strong broker-dealer experience. This role focuses on risk and control oversight, ongoing monitoring, and compliance testing across equity and fixed income businesses, with exposure to investment banking and research-related regulatory requirements.
FinanceRecruitingStaffing Agency
Hiring Manager
Hannah Clarke
Responsibilities
Execute compliance testing as part of the firm’s ongoing monitoring program to assess adherence to federal regulations and internal policies/controls
Support a risk and controls framework across Sales & Trading, helping identify, evaluate, and mitigate compliance risks
Review and interpret SEC and FINRA rules and guidance impacting broker-dealers
Monitor regulatory developments and assess applicability to the business, particularly in investment banking, equity and fixed income sales & trading, and research
Partner with business stakeholders to strengthen supervisory controls and ensure appropriate escalation and documentation of issues
Qualification
Required
5+ years of Compliance experience within a broker-dealer and/or investment bank, with direct support of Sales & Trading activities
Hands-on experience performing compliance testing/monitoring within an established compliance program
Strong knowledge of broker-dealer regulatory requirements, including SEC/FINRA rules, and related risks across Sales & Trading and investment banking
Ability to evaluate controls and provide practical guidance in a fast-paced, front-office environment
Company
Mission Staffing
Mission Staffing is a finance and recruiting company located in New York.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Jonathan Gelfand
Founder/CEO
Company data provided by crunchbase