JOB OVERVIEW The Senior Compliance Officer reports directly to the Risk and Compliance Operations Officer and plays a pivotal role in ensuring the firm's adherence to external regulatory requirements and internal compliance policies. This position oversees the management of both internal and external compliance and risk obligations. This role is part of the Risk and Compliance leadership team. RESPONSIBILITIES & DUTIES Manages the regular review and updating of the firm’s Written Supervisory Procedures (WSPs) to ensure alignment with regulatory requirements and industry best practices. Assists Risk and Compliance Management in preparing and maintaining supervisory reports in compliance with WSPs and books and records retention requirements. Executes on a variety of recurring compliance and risk operational functions such as regulatory filings, new hire coordination, vendor management, and policies and procedures management. Supports the management of the...