Compliance Manager

District Partners has been engaged by a well-established U.S. broker-dealer headquartered in New York City to identify a Senior Compliance Officer to support and strengthen the firm’s regulatory governance and line-of-business compliance coverage. This is a senior, hands-on role focused on broker-dealer compliance oversight, with particular emphasis on Operations, Treasury, and Finance interfaces. The individual in this role will be responsible for day-to-day regulatory governance, exam readiness, supervisory framework maintenance, and coordination across Compliance, Finance, Operations, and key control partners.

The Senior Compliance Officer will own the firm’s regulatory calendar, oversee core broker-dealer compliance obligations, and serve as a key partner to business and control functions to ensure the organization remains exam-ready at all times. This role requires deep familiarity with SEC and FINRA requirements, strong regulatory judgment, and the ability to translate rules into practical, auditable controls.

What You'll Do:

Regulatory Governance & Oversight

• Provide expert-level compliance guidance to internal stakeholders, ensuring effective management of regulatory and operational risk.
• Review and enhance the existing regulatory governance framework to identify and remediate gaps or weaknesses.
• Own the broker-dealer regulatory calendar, including obligations, due dates, owners, evidence requirements, and reminders.
• Govern FINRA Gateway task queues and regulatory message intake, including exchange and clearing memberships.

Registrations, Licensing & Disclosures

• Partner with Central Compliance on Form U4/U5 updates and registration frameworks for registered representatives, principals, and supervisors.
• Coordinate Form BD updates and Form BR branch registrations.
• Maintain accurate records of registrations, entitlements, and supervisory designations.

Regulatory Reporting & Surveillance Interfaces

• Perform periodic reviews and remediation coordination for CAT (including CAIS where applicable), EBS (Blue Sheets), LOPR, and short-interest reporting.
• Maintain evidence logs and control documentation supporting regulatory submissions.

Exams, Audits & Regulatory Inquiries

• Program-manage the annual FINRA Rule 3120 Supervisory Review, including scoping, vendor oversight, testing, findings, and CEO report preparation.
• Coordinate the annual FINRA vendor due-diligence survey.
• Centralize and manage regulator inquiries, including response tracking, evidence uploads, and remediation through regulator portals (e.g., FINRA Gateway/Request Manager).
• Build and execute an exam-readiness plan in advance of the 2026 FINRA exam cycle, including mock requests, evidence binders, and issue tracking in AuditBoard.

Membership Documentation Lifecycle

• Coordinate membership due-diligence responses and annual attestations.
• Perform second-line quality control reviews of all membership documentation prior to submission.
• Standardize workflows, checklists, and document repositories across platforms.

Supervisory Framework, WSPs & Policy Management

• Complete and maintain Written Supervisory Procedures (WSPs) for Treasury activities.
• Map supervisory responsibilities and controls and publish policies with required attestations and evidence workflows.
• Draft and maintain a Treasury Best Execution policy in partnership with Central Compliance.

Books & Records

• Document and maintain broker-dealer books-and-records programs in accordance with SEC Rules 17a-3 and 17a-4.
• Oversee retention and recordkeeping controls with periodic testing and documented audit trails.

Compliance Testing & Assurance

• Partner with Compliance Testing/Assurance teams to implement the annual compliance risk assessment.
• Help design and execute a risk-based compliance testing program, including coverage mapping, test scripts, and issue remediation standards.

Governance, Training & Ongoing Cadence

• Co-own monthly broker-dealer governance meetings, agendas, and action tracking.
• Contribute to the Annual Training Needs Assessment and support Firm Element and Regulatory Element training completion.
• Support compliance training delivery and documentation.

Finance & Operations Rule Interfaces

• Coordinate with Finance on Rule 15c3-1 (Net Capital) and Rule 15c3-3 (Customer Protection Rule) touchpoints.
• Maintain Regulation SHO program oversight.
• Partner with IT and Operations to support innovative compliance solutions and workflow enhancements.

What You'll Have

• 7–10+ years of experience in U.S. broker-dealer compliance or compliance assurance.
• Direct experience with SEC and FINRA examinations, reporting, and supervisory controls.
• FINRA registrations strongly preferred (Series 7, 14, 27, or 27).
• Hands-on experience with tools and platforms such as FINRA Gateway, CAT/CAIS, EBS/LOPR, short-interest reporting, AuditBoard, PolicyHub, SharePoint, and JIRA.
• Strong working knowledge of FINRA Rules 3110, 3120, 3130, 3310, SEC Rules 17a-3 and 17a-4, and familiarity with Rules 15c3-1 and 15c3-3.
• Proven experience managing regulatory exams, including mock exams, evidence production, findings tracking, and remediation plans.
• Background supporting Finance, Treasury, or Operations functions within a broker-dealer environment.

Core Competencies:

• Regulatory judgment: Ability to translate complex rules into practical, defensible controls.
• Program management: Turns regulatory obligations into structured plans with owners, milestones, and artifacts.
• Communication: Clear, concise writing and confident engagement with regulators and senior stakeholders.
• Data & evidence discipline: Strong approach to documentation, retention, and issue closure.