Director Of Compliance

Job DetailExperience Level DirectorDegree Type Bachelor of Science (BS)Employment Full TimeWorking Type HybridJob Reference 0000022566Salary Type AnnuallyIndustry Broker DealerSelling Points Lead impactful compliance programs with broad front-office exposure. Drive sustainable improvements across trading products and compliance frameworks. Supervise and develop professionals in a collaborative environment.Job DescriptionDirector of Compliance OverviewThe Director of Compliance will lead regulatory compliance frameworks supporting institutional equities, fixed income, treasury, and futures businesses.This role offers meaningful front-office exposure and ownership across multiple trading products.Supervise compliance professionals and partner with cross-functional teams to ensure regulatory adherence and operational efficiency.Drive sustainable improvements to policies, procedures, technology, and controls within the compliance department.Coordinate examinations and inquiries involving regulatory authorities, ensuring timely and accurate responses.Oversee compliance testing schedules and develop risk-based inspection protocols to ensure adherence to regulations.Lead team development initiatives, fostering a collaborative and growth-oriented environment.Prepare governance reporting for senior management and regulatory bodies, communicating key compliance metrics and developments.Director of Compliance Key Responsibilities & DutiesProvide regulatory guidance and lead compliance programs for institutional trading activities.Oversee regulatory reporting frameworks, ensuring compliance with obligations such as CAT/CAIS, TRACE, and LOPR.Manage surveillance and monitoring systems, evaluating data feeds and workflows to enhance compliance controls.Coordinate responses to regulatory examinations, inquiries, and trade-data requests.Develop risk-based compliance testing schedules, defining scope, procedures, and reporting standards.Serve as a senior stakeholder for compliance technology and vendor oversight, promoting automation and analytics.Maintain policies, procedures, and training programs, ensuring alignment with regulatory changes.Supervise and develop compliance professionals, establishing priorities and maintaining quality standards.Director of Compliance Job RequirementsBachelor’s degree in business, finance, accounting, economics, law, or related discipline required.Minimum 10 years of experience in broker-dealer, financial services, regulatory, legal, audit, risk, or compliance roles.Strong knowledge of regulatory requirements for institutional trading activities and compliance frameworks.Experience with compliance technology, regulatory reporting systems, and surveillance platforms preferred.Advanced degree and relevant FINRA registrations such as Series 7, 24, 57, and 63 preferred.Proven ability to manage complex regulatory matters across departments and coordinate remediation efforts.Demonstrated expertise in developing policies, procedures, and sustainable compliance controls.Strong communication, analytical, and organizational skills with sound judgment.