Senior Director Compliance (FINRA Licensed)

Job Summary

Leading the Personal Trading and Code of Ethics program, the full-time remote Senior Director Compliance (FINRA Licensed) will oversee compliance initiatives across various financial services while managing a team and collaborating with business leaders to enhance the compliance framework.

Key responsibilities

• Lead the Personal Trading and Code of Ethics program, including pre-clearance and employee trading reviews
• Direct enterprise compliance risk assessments, monitoring, testing, and governance reporting
• Manage and develop a team of compliance professionals, fostering a culture of accountability and collaboration

Required qualifications

• Bachelor's degree or equivalent experience required; Juris Doctor preferred
• 10+ years of progressive compliance experience in investment advisers or broker-dealer businesses
• 5+ years of people leadership experience
• Deep knowledge of relevant regulatory acts and FINRA rules
• FINRA Series 65 or 66 required