Hiring: Vice President of Compliance Company: Octaura Location: New York, United States Job Posted Time: 2026-09-16 11:41:14 Employment Type: Full-time Target Skills & Keywords : Series 24, Series 7 About the job Experience: •Approximately 6–10 years of progressive financial-services compliance experience, including meaningful responsibility within a U.S. broker-dealer. Evidence of judgement and impact matters more than tenure alone. •Series 24 or Series 14 qualification is required; Series 7, Series 63 and/or Series 8 are advantageous. •Strong knowledge of FINRA and SEC requirements, with the ability to interpret regulation and convert it into effective, workable controls. •Strong employee and personnel compliance experience, including registrations, personal trading, outside activities, attestations, training and supervisory processes. •Understanding of fixed-income products, institutional market structure and broker-dealer operations; electronic trading and TRACE experience are highly desirable. Required Skills: •Serve as designated Chief Compliance Officer for Octaura’s U.S. institutional broker-dealer, ensuring compliance with FINRA, SEC and applicable federal and state requirements. •Advise the executive team, balancing regulatory obligations with commercial objectives and escalating material risks clearly and promptly. •Own and continuously improve the compliance programme, including policies, written supervisory procedures, risk assessments, annual testing, control evidence and regulatory reporting. •Lead employee and personnel compliance, including registrations, licensing, outside business activities, personal trading, attestations, gifts and entertainment, training, recordkeeping and FINRA Gateway administration. •Own the AML programme, including risk assessments, customer and activity monitoring, escalation, suspicious activity reporting and ongoing enhancement of policies and controls. •Oversee regulatory filings and reporting, including TRACE, and lead examinations, inquiries and responses with accurate, timely and well-supported submissions. •Develop and operate proportionate market, trade and e-commerce surveillance for an electronic fixed-income marketplace, including controls addressing manipulation and other forms of market abuse. •Select, implement and refine compliance and surveillance technology, ensuring alerts, thresholds, investigations and escalation processes remain effective as activity grows. Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!