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 engagement is structured as a 12-month full-time role with full benefits, with a strong likelihood of renewal based on business need and performance.

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.