Reporting to the Chief Compliance Officer, this role supports the administration, maintenance, and continuous improvement of the Firm's Compliance Technology environment. Serves as the primary point of contact for Compliance-related systems, ensuring operational stability, timely issue resolution, and alignment with regulatory requirements and internal control standards. Works closely with the CCO, Compliance Department Heads, and IT leadership.
Responsibilities
- Administer core Compliance platforms and act as primary contact for system issues, incidents, and user inquiries
- Manage user access, entitlements, and system configurations per Firm policy and internal controls
- Coordinate system upgrades, enhancements, and testing with Technology teams and vendors, ensuring systems support regulatory obligations (SEC/FINRA)
- Troubleshoot system defects, data discrepancies, and process issues; conduct root cause analysis and implement sustainable fixes
- Monitor and validate completeness/accuracy of Compliance data across systems
- Produce and reconcile routine and ad hoc reports for internal governance, management committees, and regulatory submissions
- Support data quality initiatives — identifying, tracking, and resolving data exceptions
- Participate in Compliance technology initiatives: system implementations, integrations, process improvements
- Maintain documentation of system configurations, procedures, and control frameworks
- Perform UAT and support deployment activities
- Support internal audit, regulatory exams, and compliance reviews with documentation, system evidence, and issue remediation tracking
Requirements
- Bachelor's degree in Information Systems, Finance, Business Administration, or related field
- 4–6 years' experience in Compliance, Risk, or Technology functions, preferably at a broker-dealer or financial services firm (systems administration experience preferred)
- Working knowledge of Compliance technologies (trade surveillance, AML/KYC systems, employee compliance/PTA platforms)
- Proficiency in data analysis and reporting tools — advanced Excel, SQL, Tableau, SharePoint, Jira, and comparable surveillance/PTA compliance platforms
- Ability to diagnose system issues and coordinate with IT and external vendors
- Sound understanding of SEC and FINRA regulatory frameworks
- Strong communication skills, including translating technical concepts for non-technical stakeholders