Broker-Dealer Compliance Coverage for Retail/Introducing Brokerage State Street Markets Compliance is seeking an experienced compliance professional to assist the Chief Compliance Officer to satisfy the regulatory obligations of retail brokerage activities for RIA and retail customers.

If you think you are the right match for the following opportunity, apply after reading the complete description. The Retail Broker-Dealer Compliance Officer will be responsible for ensuring that our retail brokerage operations comply with all applicable laws, regulations, and internal policies. This role involves monitoring and assessing compliance risks, developing and implementing compliance programs, and providing guidance to the business on compliance-related matters. The role must maintain and apply current knowledge of FINRA, NYSE, and SEC rules and regulations. The position is responsible for supporting the business teams in the implementation of all required policies and assist with the compliance oversight of the Broker-Dealer’s retail customer activities. Responsibilities Include Serving as a compliance expert for brokerage activities supporting retail client base, understanding business processes and risks. Establishing and maintaining compliance policies, procedures, and controls based on regulations. Implementing and enhancing the Compliance Oversight Program in alignment with division methodology addressing all relevant risks and corporate and local requirements. Providing advice to firm’s Registered Representatives regarding applicable securities rules, regulations and firm policies. Demonstrating excellent communication skills, both oral and written. Candidate Requirements Bachelor's Degree or Higher Required. Series 7 and 24 qualifications required (or the ability to retain within 6 months of hire) Minimum of 5 years’ experience in compliance, legal, risk control, or audit, specifically in retail brokerage, wealth services or similar financial services areas Ability to understand the compliance issues involved with the State Street Markets’ retail brokerage operations Strong knowledge of FINRA and SEC rules and regulations The salary range for this role is $110,000 - $177,500 Annual. State Street is an equal opportunity employer and welcomes applications from diverse candidates.

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