FINRA Licensed Compliance Leader

Job Summary

A company is looking for a Senior Compliance Leader - Digital Securities.

Key Responsibilities

• Oversee compliance operations for the broker-dealer and ATS
• Conduct trade surveillance, communication reviews, and AML/KYC monitoring
• Manage regulatory exams, audits, inquiries, and filings

Required Qualifications

• Bachelor's degree in Finance, Accounting, Economics, Business, Law, or related field
• Active FINRA Series 7 and Series 24 licenses
• 7+ years of compliance experience in a broker-dealer, ATS, exchange, or fintech trading environment
• Hands-on experience with trade surveillance, supervisory reviews, and regulatory exams
• Familiarity with digital securities or innovative trading platforms