Compliance Officer – New York

About the role

MillTech is expanding its New York office and seeks a senior Compliance Officer to lead and evolve the firm’s compliance program. Reporting to the Group Chief Compliance Officer, you will act as the primary regulator liaison and drive a culture of compliance across all business lines.

Key responsibilities

• Own and continuously improve the firm’s compliance policies, code of ethics, and risk‑management framework.
• Serve as the main point of contact with regulators such as the SEC, FINRA, NFA, and NYDFS, managing examinations, inquiries, and filings.
• Oversee AML, KYC, and sanctions (OFAC) programs, including monitoring, reporting, and remediation.
• Track regulatory developments and translate them into practical guidance for product, market, and strategic initiatives.
• Lead compliance risk assessments, testing, surveillance, and issue remediation.
• Advise senior leadership on compliance implications of new products and market expansions.
• Build, mentor, and scale a high‑performing compliance team while fostering a strong compliance culture.
• Deliver training, manage employee certifications, personal trading, and conflicts‑of‑interest programs.

Required profile

• 10+ years of compliance experience in financial services, with at least 5 years in a senior leadership role (CCO, Deputy CCO, or equivalent).
• Deep knowledge of SEC, FINRA, NFA, and NYDFS regulatory frameworks.
• Proven track record of managing regulator relationships and compliance examinations.
• Strong analytical and judgment skills to translate complex regulations into business‑friendly guidance.

Required skills

• Expertise in AML, KYC, and sanctions compliance.
• Experience with regulatory reporting and examination processes.
• Ability to design and implement compliance policies and training programs.

What we offer

• Competitive salary range of USD 160,000 – 220,000 per year.
• Opportunity to shape the compliance function of a fast‑growing fintech.
• Dynamic, collaborative environment in a global firm.
• Access to professional development and leadership growth.