Head of Compliance

Apollo Solutions
New York, United States
$180000 per annum
Closing date
9 Dec 2023

View more

Employer Sector
Financial Services
Contract Type
Full Time
Job Type
Compliance, Compliance & Regulation

Job Details

Head of Compliance
Up to $180,000 base salary

A growing FinTech in brokerage is looking for someone to take over primary responsibility for Compliance activities across the business in a generalist advisory and hands on role.

  • Spearheading compliance policies as well as coordinating and monitoring the effectiveness of compliance support.
  • Manage the relationship with FINRA, including regular reporting.
  • Provide sound regulatory advice to C-Suite executives.
  • Providing an effective training programme as required.
  • Overall responsibilityof serving as AML/KYC/CTF lead, mitigating business wide risks.
  • Extensive knowledge of FINRA and SEC requirements, and familiarity in building regulatory relationships.
  • 5+ years working for a FINRA regulated organisation.
  • Natural risk manager and problem solver, willingness to continually learn and embrace change.
  • Experience in surveillance and monitoring in brokerage is preferable.
Sound like you? Click apply or email for more info.


Headquartered in London and with satellite offices in New York and Amsterdam, Apollo Solutions is a market-leading recruitment business specialising in two core sectors: Corporate Governance & Technology. It is what we know, and we do it well.

For over a decade, we have been successfully providing bespoke talent solutions globally, building partnerships that last. Whether you are a candidate or a client, we aim to provide the best possible service using our strong industry network, market knowledge and consultative, personalised approach.

We offer Permanent, Contract and Executive Search staffing solutions across:

  • Corporate Governance: Audit, Risk, Compliance, Forensic Accounting, Valuations & Economics Technology: Cybersecurity, Data & Analytics, Software, DevOps, Infrastructure & Cloud

Whether you are looking to grow your team, or find the right fit for your career ambitions, we are there with you every step of the way. After all, our success comes from your success.

Get in touch now and find out how we can work together!

Company info
+44(0)20 3167 3167
8 Devonshire Square
United Kingdom

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