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Senior Associate/VP, Compliance Officer

Compliance|New York, NY

Wolfe Research is seeking an experienced Compliance Officer to work alongside a team of six Legal and Compliance professionals in building and maintaining extraordinary broker-dealer and investment adviser compliance programs at a dynamic and fast-growing research firm. The Compliance Officer will coordinate, recommend, and execute plans to address potential issues, fulfill regulatory obligations, and promote best practices. In addition to being highly analytical and detail-oriented, the ideal candidate will provide real-time advice and support to key front office personnel in a fast-paced environment and will have prior broker-dealer Equity Research Compliance experience and be comfortable interacting directly with all levels of management.


  • Collaborate with various teams in gathering information for submission of periodic compliance deliverables to clients and regulatory examinations
  • Executing the end-to-end process for regulatory engagements, including reviewing examination requests, advising internal stakeholders, and reviewing and obtaining approval for regulatory submissions
  • Fact-finding, upon the direction of the CCO, on new initiatives, compliance-themed industry requirements, and risk alerts
  • Provide Compliance advice and guidance with respect to Information Barriers and Investment Banking Conflicts of Interest, including updating the Firm’s Watch/Restricted lists
  • Own the processes related to Compliance surveillance modules
  • Identifying, escalating, and developing solutions for potential regulatory risks
  • Input updates into SEC IARD, FINRA Gateway, and the NFA systems
  • Provide advice to the Business re: research products and new initiatives
  • Work closely with the small team of Legal and Compliance professionals to analyze and create processes for new Business initiatives
  • Develop, implement and train on the firm’s policies and procedures

Requirements and Qualifications:

  • Bachelor’s degree required
  • 4+ years of compliance or legal-related experience in financial services with a focus on Research and Investment Banking and Control Room preferred
  • Strong understanding of SEC, FINRA  rules/regulations, industry practice, and how to apply these to the firm’s business model
  • Strong understanding of the Global Research Settlement
  • Possess a general understanding of the current regulatory environment and financial markets and/or securities regulations and rules
  • Proactive and willing to take on issues/responsibilities that require focus and determination
  • Ability to work as a member of a team in a high-pressure, fast-paced environment
  • Detail-oriented with ability to multitask, organize and prioritize
  • Strong interpersonal and written/verbal communication skills
  • Strong analytical, problem-solving and organizational skills

Preferred Skills and Qualifications:

  • Experience with the NFA, SEC and/or FINRA examinations
  • Track record of working with vetting expert networks and industry professionals
  • Involvement with regulatory elements of a Registered Investment Advisor
  • Regulatory exams: Series SIE, 7, and 24, and/or Series 14
  • Experience working with a quantitative research team and understanding of cybersecurity protocols and procedures within a financial services environment.



Interested candidates, please fill out this application.


At Wolfe Research we feel passionately about equal pay for equal work and pay transparency is an integral practice for that. The compensation for this role is market competitive with a base salary range of 110,000-130,000. We intend to offer the selected candidate a base salary within this range, based on non-discriminatory factors including but not limited to skill set, job-related experience, and location. In addition, we offer an annual discretionary incentive bonus and competitive employee benefits including: medical, dental and vision coverage; life, accident and disability insurance. Wolfe also offers paid time off packages that include vacation, sick days/leave, paid holidays and paid parental leave.