California Licensed Compliance Director

Job Summary

Leading the compliance risk management team, the full-time California Licensed Compliance Director will ensure compliant operations across various business lines, support the Chief Compliance Officer in managing the compliance and ethics program, and oversee the Governance, Risk, and Compliance program, all while working remotely.

Key responsibilities

• Lead compliance risk management efforts to ensure operations, products, and services are compliant
• Supervise and mentor Compliance staff, designing training initiatives and fostering an ethical organizational culture
• Develop and maintain a comprehensive AI governance framework for the ethical deployment of AI systems

Required qualifications

• 10+ years of professional experience in compliance at a broker-dealer or investment advisory firm
• FINRA Series 7 and 24 or Series 14; willingness to obtain additional registrations as necessary
• Strong working knowledge of FINRA, MSRB, and SEC rules related to compliance
• Experience with regulatory risk management and policy governance
• Demonstrated ability to communicate effectively and influence organizational outcomes