Compliance Officer

MillTech

Compliance Officer leading MillTech’s New York compliance function for FX hedging and cash investment solutions. Managing regulators, AML/KYC, sanctions, surveillance, and scalable compliance programs.

Posted 8/6/2026full-timeNew York City • New York • 🇺🇸 United StatesSeniorLeadWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates extensive expertise in compliance program management, regulatory frameworks, and risk assessment within financial services, while fostering a culture of compliance and mentoring high-performing teams.

Highest-signal resume keywords

Compliance Program ManagementRegulatory Frameworks (SEC, FINRA, NFA, NYDFS)AML/BSA and Sanctions ExpertiseSenior Leadership Experience (CCO, Deputy CCO)Relevant Certifications (CAMS, CRCP)

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory Examination ManagementCompliance Risk AssessmentSuspicious Activity MonitoringPolicy DevelopmentCompliance Training Delivery

Soft Skills

Clear CommunicationIntegritySound JudgmentInfluencing ExecutivesTeam Building

Certifications & Qualifications

CAMSCRCPFINRA Series 14FINRA Series 24

Industry Keywords

ComplianceFinancial ServicesKYCOFACAnti-Fraud Regimes

About the role

Key responsibilities & impact

Own and evolve the firm's compliance program, policies, and code of ethics across all business lines
Serve as primary liaison with regulators, including the SEC, FINRA, NFA and other federal and state authorities
Manage regulatory examinations, inquiries, and filings
Oversee AML, KYC, and sanctions (OFAC) programs, including suspicious activity monitoring and reporting
Monitor regulatory developments and translate them into practical guidance for the business
Lead compliance risk assessments, testing, surveillance, and remediation of identified issues
Advise senior leadership on compliance risks affecting new products, markets, and strategic initiatives
Build, mentor, and scale a high performing compliance team
Foster a strong culture of compliance
Deliver compliance training and manage employee certifications, personal trading, and conflicts of interest programs

Requirements

What you’ll need

10+ years of compliance experience in financial services
5+ years in a senior leadership role (CCO, Deputy CCO, or equivalent)
Deep knowledge of SEC, FINRA, NFA and NYDFS regulatory frameworks
Hands-on experience managing regulatory examinations
Expertise in AML/BSA, sanctions, and anti-fraud regimes
Relevant certifications (CAMS, CRCP, or similar) preferred
FINRA Series 14 or 24
Proven ability to influence executives and boards
Proven ability to build compliance functions that scale with the business
Impeccable integrity
Sound judgment
Clear, direct communication

Benefits

Comp & perks

A competitive salary with annual reviews
25 days’ paid annual leave plus an additional day per year of service
Excellent staff development and training opportunities
Flexible working arrangements including remote working
Healthcare
401(k) with employer match
Opportunities to be involved in key projects
Exposure to challenges that you may not be offered in a larger organisation