Head of Compliance - Broker dealer/RIA

Position Overview

A financial services firm is seeking an experienced Head of Compliance to lead and oversee the firm's regulatory compliance program across its broker-dealer and investment advisory businesses.

This senior leadership position will be responsible for developing and maintaining the compliance framework, providing regulatory guidance to senior management and business leaders, and ensuring adherence to applicable SEC and FINRA rules and regulations.

The ideal candidate will have extensive experience overseeing compliance within a dual-registered or broker-dealer/RIA environment, strong knowledge of securities regulations, and an active FINRA Series 24 license.

Find out more about the daily tasks, overall responsibilities, and required experience for this opportunity by scrolling down now.

Key Responsibilities

• Lead and oversee the firm's broker-dealer and investment adviser compliance programs.
• Serve as a senior compliance resource to executive leadership, registered representatives, financial advisors, and business teams.
• Maintain and enhance the firm's compliance policies, procedures, controls, and Written Supervisory Procedures (WSPs).
• Ensure compliance with applicable FINRA, SEC, Investment Advisers Act, and securities regulatory requirements.
• Oversee supervisory activities, compliance monitoring, surveillance, testing, and risk assessments.
• Provide guidance on Reg BI, suitability, conflicts of interest, communications, advertising, sales practices, and advisor supervision.
• Oversee the review and resolution of customer complaints, regulatory inquiries, and potential compliance violations.
• Monitor registered representative and financial advisor activity and ensure appropriate supervisory controls are maintained.
• Oversee electronic communications and communications-with-the-public review programs.
• Manage regulatory filings, registrations, annual certifications, and other compliance obligations.
• Lead and coordinate FINRA and SEC examinations, regulatory inquiries, internal audits, and independent compliance reviews.
• Serve as a primary point of contact with regulators and coordinate responses to regulatory requests.
• Identify compliance deficiencies and oversee corrective action and remediation efforts.
• Monitor regulatory developments and ensure policies, procedures, and business practices are updated accordingly.
• Partner with Legal, AML, Operations, Risk, Technology, and senior leadership on regulatory and compliance matters.
• Provide compliance guidance regarding new products, services, business initiatives, and operational changes.
• Develop and deliver compliance training for employees, advisors, and registered personnel.
• Lead, mentor, and develop members of the Compliance team.
• Promote a strong culture of compliance and ethical conduct throughout the organization.

Qualifications

• 10+ years of progressive securities compliance experience, including significant experience within a broker-dealer and/or Registered Investment Adviser.
• Prior experience in a senior compliance leadership capacity strongly preferred.
• Active FINRA Series 24 required.
• Series 7 and additional FINRA licenses preferred.
• Strong working knowledge of FINRA and SEC regulations and the Investment Advisers Act of 1940.
• Demonstrated experience with both broker-dealer and RIA compliance frameworks.
• Experience managing regulatory examinations and interacting directly with FINRA and SEC regulators.
• Strong knowledge of WSPs, supervisory systems, Reg BI, suitability, advertising/communications, conflicts of interest, and sales practice supervision.
• Experience developing and implementing compliance policies, risk assessments, testing programs, and internal controls.
• Strong understanding of financial advisor and registered representative supervision.
• Ability to interpret complex regulatory requirements and translate them into practical business guidance.
• Demonstrated ability to advise senior executives and business leaders on regulatory risk.
• Strong leadership, judgment, analytical, and problem-solving capabilities.
• Excellent written and verbal communication skills. xhyhwjd
• Bachelor's degree required; advanced degree or professional compliance designation preferred.