Compliance Officer Capital Markets & Public Finance

The ideal candidate has a strong understanding of broker-dealer regulations, experience supporting institutional financial markets activities, and the ability to independently identify and address compliance risks. A financial services firm is seeking a Compliance Officer to support regulatory oversight across its Capital Markets, Public Finance, and Commodities businesses.

A financial services firm is seeking a Compliance Officer to support regulatory oversight across its Capital Markets, Public Finance, and Commodities businesses.

This position will focus on compliance monitoring, supervisory reviews, regulatory examinations, and ongoing advisory support.

The ideal candidate has a strong understanding of broker-dealer regulations, experience supporting institutional financial markets activities, and the ability to independently identify and address compliance risks.

RESPONSIBILITIES

Regulatory Compliance & Supervision

• Provide day-to-day compliance guidance to Public Finance, Capital Markets, Fixed Income, and Commodities teams.
• Interpret and apply FINRA, SEC, MSRB, CFTC, and NFA regulatory requirements.
• Review and enhance written supervisory procedures, compliance policies, and internal controls.
• Identify potential regulatory violations, supervisory weaknesses, and emerging compliance risks.
• Respond to compliance-related questions from business stakeholders and regulatory authorities.

Monitoring, Testing & Examinations

• Conduct risk-based compliance testing, surveillance, and supervisory reviews across assigned business areas.
• Plan and perform compliance inspections of branch offices and corporate business units.
• Evaluate supervisory practices, document findings, and recommend corrective actions.
• Support annual compliance certifications and supervisory assessments.
• Monitor remediation efforts and assist with resolving identified compliance deficiencies.

Regulatory Coordination & Reporting

• Coordinate responses to regulatory inquiries, examinations, audits, and documentation requests.
• Prepare compliance reports, examination findings, and supporting regulatory documentation.
• Review institutional communications, advertising, and marketing materials for regulatory compliance.
• Support electronic communications oversight and annual compliance initiatives.
• Partner with compliance management and business leaders on regulatory projects and process improvements.

QUALIFICATIONS

• Bachelor's degree, preferably in Business, Finance, or a related discipline.
• 3 7 years of experience in broker-dealer compliance, supervision, regulatory affairs, audit, legal, or related financial services functions.
• Direct experience supporting Public Finance, Municipal Securities, Capital Markets, or Fixed Income activities.
• FINRA Series 7 license required.
• Working knowledge of FINRA, SEC, MSRB, CFTC, and NFA regulations relevant to institutional securities and financial markets.
• Understanding of broker-dealer supervisory requirements, compliance controls, and surveillance practices.
• Strong analytical, problem-solving, and regulatory interpretation skills.
• Excellent written and verbal communication skills.
• Ability to explain complex regulatory requirements clearly to business stakeholders.
• Proficiency in Microsoft Word, Excel, PowerPoint, and Outlook.

PREFERRED EXPERIENCE

• FINRA Series 24 and/or Series 53 licenses.
• Experience conducting compliance testing, surveillance, branch inspections, or regulatory examinations.
• Background supporting institutional broker-dealer or fixed income trading activities.
• Familiarity with municipal securities regulations and MSRB supervisory requirements.
• Experience reviewing institutional marketing materials and electronic communications.
• Knowledge of Written Supervisory Procedures (WSPs), regulatory reporting, and supervisory control frameworks.