Title: AVP, Compliance

Employment Type: Contract-To-Hire

Compensation Range: $55-$65/hr

Location: Midtown NYC, NY

Work Schedule: Hybrid

Industry: Financial Services & Investment Banking

Company Overview

This organization operates as a large-scale financial services firm offering a range of solutions across wealth management, investment banking, capital markets, and clearing services. It maintains a strong regulatory environment and emphasizes compliance, risk management, and client service excellence.

Position Summary

The AVP, Compliance supports the firm’s regulatory compliance program through execution of risk assessments, remediation initiatives, and coordination with internal stakeholders and regulatory bodies. This role plays a critical part in maintaining compliance frameworks and ensuring adherence to regulatory requirements.

Key Responsibilities

• Execute regulatory risk assessments for broker-dealer and investment adviser compliance programs
• Partner with leadership to maintain and enhance compliance frameworks, including procedures and supervisory controls
• Document and track remediation efforts in collaboration with internal committees
• Coordinate with Compliance Officers across business units to address regulatory gaps
• Respond to state regulatory inquiries related to registrations
• Manage intake and submission processes for regulatory exams
• Liaise with technology teams to fulfill regulatory data requests
• Maintain compliance control inventories across regulated entities
• Support remediation and uplift initiatives across compliance programs
• Assist with preparation and updates of regulatory filings including Form ADV and Form BD

Required Qualifications

• Bachelor’s degree from an accredited university
• Minimum 10 years of experience within a broker-dealer, investment manager, or U.S. bank
• Strong understanding of FINRA, SEC, and related regulatory frameworks
• Experience managing confidential and material non-public information
• Ability to design and manage controls related to insider trading prevention
• Proficiency with Microsoft Office tools including Excel, Word, Outlook, and PowerPoint
• Strong organizational, analytical, and problem-solving skills
• Excellent communication skills across multiple levels of an organization
• Ability to manage multiple priorities in a fast-paced environment

Preferred Qualifications

• ACAMS certification
• Experience supporting regulatory remediation committees or similar governance structures
• Prior experience with regulatory filings such as Form ADV and Form BD
• Strong presentation and stakeholder management skills
• Self-starter with the ability to work independently and collaboratively