Director of Compliance

We are seeking a Director of Compliance with Broker/Dealer experience to join our client's team! This role is responsible for overseeing the firm's entire compliance program to ensure adherence to all federal and state regulations and internal policies. Key duties include managing regulatory filings, developing and implementing policies, monitoring trading and other activities, and conducting risk assessments. The role requires extensive knowledge of securities laws and regulations from bodies like the SEC and FINRA, strong communication skills for training and reporting, and the ability to manage relationships with regulatory agencies.

Core responsibilities

Regulatory liaison and filings:

• Manage all interactions with regulatory agencies, prepare and submit required filings, and coordinate responses to examinations and inquiries from bodies like the SEC and FINRA.

Policy and program development:

• Establish, implement, and maintain the firm's compliance program, including written supervisory procedures, policies, and best practices for areas such as client onboarding, trading, and marketing materials.

Monitoring and testing:

• Conduct ongoing monitoring of trading activities, risk assessments, and internal audits to ensure ongoing compliance. This includes overseeing transaction monitoring and automated surveillance programs.

Anti-Money Laundering (AML):

• Manage all aspects of the AML program, including maintaining policies, conducting annual training, and coordinating independent audits.

Training and education:

• Develop and deliver compliance training to employees and management, ensuring they understand relevant laws, regulations, and firm policies.

Risk management:

• Provide guidance and advice to senior management on compliance matters, assist in mitigating risks, and respond to policy violations. This also includes managing personal trading compliance and outside business activities.

Key qualifications

• Deep knowledge of securities regulations (e.g., SEC, FINRA).
• Experience in broker-dealer compliance.
• Strong analytical, oral, and written communication skills.
• Ability to provide strategic guidance on complex regulatory issues.
• FINRA Series 24 license is required.