Job Description

Overview:

We're seeking a seasoned compliance leader to take ownership of our regulatory strategy and execution across our broker-dealer business. This individual will serve as a key figure in shaping and sustaining a robust compliance infrastructure, ensuring alignment with evolving industry standards and expectations. You'll need to be sharp, detail-driven, and collaborative - able to balance strategic oversight with hands-on execution.

What You'll Be Doing:

• Lead the ongoing enhancement of the compliance program by aligning internal protocols with current industry regulations and organizational objectives.
• Stay ahead of changes in regulatory frameworks that impact broker-dealer operations and adjust internal policies and monitoring accordingly.
• Act as a go-to resource for interpreting new rules or guidance and determining how they influence our compliance landscape.
• Own the execution of key broker-dealer compliance responsibilities across business units.
• Partner closely with Operations and Trading teams to uphold regulatory integrity across all workflows and ensure practical implementation of controls.
• Conduct the annual review of compliance activities, identifying areas for improvement and ensuring best practices are followed.
• Support the successful navigation of regulatory exams and internal audits.
• Oversee communication reviews through our surveillance systems and proactively identify potential risks.
• Serve as a liaison with federal and state regulators, ensuring transparency and effective response strategies.
• Lead risk-related initiatives across the organization and serve as a subject matter expert on compliance-related inquiries.

Who You Are:

• You have a Bachelor's degree in finance, legal studies, business, or a related discipline.
• You bring at least 5 years of direct experience in a compliance leadership role within a broker-dealer or related financial services setting.
• You're credentialed with FINRA licenses (Series 7 and Series 24 REQUIRED).
• You thrive in fast-moving, highly regulated environments and have a proven track record of maintaining regulatory standards without slowing down business momentum.
• You're a strong communicator who can explain complex rules clearly and drive alignment across functions.

Job Tags

Similar Jobs