FINRA Licensed Compliance Director

Job Summary

A company is looking for a Director, US Broker-Dealer Compliance to oversee compliance operations and ensure regulatory adherence.

Key Responsibilities

• Manage compliance testing, office inspections, and regulatory reporting
• Prepare and submit various regulatory filings and serve as the primary contact during audits
• Maintain compliance manuals and administer the Identity Theft Prevention Program

Qualifications

• Experience with Broker-Dealer compliance and interaction with FINRA and SEC
• FINRA registration required; Series 7 and Series 24 are mandatory, Series 4 preferred
• Strong organizational skills to manage broad responsibilities independently
• Ability to work across teams and communicate with regulators
• Familiarity with trust custody compliance and IRA regulations is a plus