Employee Compliance Manager

We are seeking an Employee Compliance Manager to oversee and improve the day-to-day operations of part of our Employee Compliance team in New York. 

The right person for this role will be process-driven, collaborative, and comfortable managing experienced professionals with deep subject matter expertise. You should enjoy thinking about how systems fit together across a range of employee compliance areas, have a strong bias for documentation and clarity, and be energized by the challenge of updating processes and implementing new tools or vendors where needed. Responsibilities of this role will include:

• Managing the Registrations and Personal Account trading teams within our larger Employee Compliance team, providing daily oversight and guidance, and serving as the first point of escalation for team questions
• Identifying areas where we can evolve and improve our current processes, including around vendor and system upgrades
• Overseeing the full lifecycle of employee registration and regulatory filings, including Form U4/U5, onboarding exchange forms, fingerprinting, background checks, and disclosure updates
• Ensuring timely and accurate completion of regulatory requirements and responses to internal and external inquiries, including maintaining supervisory reporting lines and organizational trees
• Collaborating closely with compliance leadership to bridge gaps and ensure consistent standards across teams
• Coordinating with external vendors to smoothly implement new systems or processes
• Keeping up with regulatory developments and proactively adapting team practices as needed

• Have 10+ years of relevant professional experience in compliance, managing employee compliance functions in a financial services environment is required
• Experienced with managing people, including leading teams with diverse backgrounds and experience levels
• Highly organized, process-oriented, and motivated by continuous improvement and documentation
• Collaborative and adaptable, able to work effectively with a range of personalities and management styles
• Excellent communicator; able to explain complex processes clearly and respond to questions from colleagues at all levels
• Proven able to manage multiple priorities, adapt to change, and solve process challenges with creativity and pragmatism
• Professional, trustworthy, and able to exercise sound judgment with sensitive information
• Familiarity with registration systems and vendors (e.g., ComplySci) is a plus, but not required

If you're a recruiting agency and want to partner with us, please reach out to [email protected].