Associate / AVP, LSI Compliance, North America
About The Position
Ready for your next big career move? This is your opportunity to join a dynamic and collaborative team where your expertise will truly matter. We’re seeking a talented professional for an exciting role based in New York, offering a highly competitive salary and the chance to make a real impact. If you’re looking for a position that values your contribution and supports your growth, we encourage you to read on and discover why this could be the perfect fit for you. Seize the chance to work in a forward-thinking environment where innovation, integrity, and collaboration are at the heart of everything we do. You’ll be empowered to take ownership of your projects, develop your skills, and work alongside industry leaders who are invested in your success. Join us to help shape the future of compliance and make your mark within a well-respected global banking group. Entity Overview: Lloyds Securities Inc. (LSI), a FINRA and SEC registered broker-dealer, is the US securities affiliate of Lloyds Bank Corporate Markets, plc UK (LBCM). LSI and LBCM are part of Lloyds Banking Group, which offers commercial banking and risk management services to large domestic and multinational businesses with a presence in the US and the United Kingdom. LSI Compliance is the advisory team for US global markets businesses, including Debt Capital Markets, Bond Syndicate, Private Placements, Risk Management Solutions, FX, Rates, and Credit Sales and Trading. LSI acts as a U.S. chaperoning broker dealer for its foreign affiliate LBCM under SEC Rule 15a-6. Role Overview: The right candidate will play an active role in supporting LSI’s Chief Compliance Officer in implementing and maintaining LSI’s broker-dealer compliance program and advising US global markets businesses. The ideal candidate will have knowledge of applicable SEC and FINRA regulations, be highly motivated and organized, and able to work both independently and as part of a team. This position requires attention to detail, capability in handling a diverse workload, prioritizing tasks in a fast paced corporate environment, and flexibility to support both the LBCM North America and UK Compliance teams with tasks outside those listed here.
Requirements
- 3–5 years’ experience at a broker-dealer or FINRA
- Bachelor’s degree required
- Strong understanding of FINRA compliance rules
- Analytical thinker and problem solver in a fast-paced setting
- Meticulous and well-organized
- Capable of working independently and managing multiple priorities
- Strong written and verbal communication skills
- Skilled with Excel, PowerPoint, FINRA Gateway, and SEC EDGAR
- Professional and discreet with sensitive information
Nice To Haves
- Series 7 or 14 a plus, but not required
Responsibilities
- Handling broker-dealer regulatory filings and supporting licensing and education requirements
- Supporting Control Room functions and collaborating with UK colleagues to manage restricted and watch lists
- Reviewing communications daily and escalating issues as needed
- Delivering compliance training and orientations
- Advising on business communications and marketing materials
- Helping draft and update compliance policies and procedures
- Monitoring regulatory changes and participating in industry groups
- Documenting and reviewing key risks and controls
- Providing information for compliance quality assurance and audit teams, and supporting remediation
- Collaborating with teams across the business and providing insights to senior leadership on conduct and compliance
Benefits
- Comprehensive health coverage with multiple medical plan options, including an HSA‑eligible plan with company contributions , plus dental, vision, and 24/7 virtual care
- Strong financial benefits including a 401(k) with company match and discretionary contribution , company‑paid life insurance, and short‑ and long‑term disability coverage
- Family and life support such as paid family leave, backup child and elder care, employee assistance programs, and identity theft protection
- Wellness and lifestyle benefits including fitness programs, gym reimbursement options, pet insurance, and group legal services
- Ongoing training, development, mentoring, and networking opportunities
- Opportunities to give back through volunteering and fundraising initiatives
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Number of Employees
1-10 employees
