Director of Compliance

Your Role:

The Director of Compliance reports to the Chief Compliance Officer and supports all aspects of the Firm’s compliance program. This role works closely across business lines and functions to ensure alignment and effective execution of compliance initiatives. The ideal candidate is proactive, highly organized, and able to manage multiple solutions and maintain strong stakeholder relationships. 

 

Things You Get To Do:

• Apply practical knowledge of FINRA rules and regulations to ensure compliance oversight across the firm.
• Partner with business units to understand workflows, monitor controls, and implement compliance process improvements.
• Draft, update, and maintain compliance policies and supervisory procedures.
• Review advertising, marketing, and electronic communications for regulatory compliance.
• Support regulatory examinations, inquiries, and requests, including gathering data, preparing documentation, and coordinating responses.
• Assist in the preparation and submission of required regulatory filings and reports.
• Assist with branch inspections and supervisory reviews, track findings, and follow up with business leads.
• Assist in the preparation and submission of required regulatory filings and reports.
• Experience with new product launches and ongoing product governance.
  
  

Who You Are (Must-Haves):

• At least 10 years of experience managing compliance matters within FINRA, SEC, and OCC jurisdictions, preferably in a broker-dealer and clearing firm environment.  
• Deep knowledge of U.S. securities regulations, including FINRA/SEC rules, and registration/licensing obligations.
• Strong written communication skills for drafting regulatory documentation and policies.
• Proven ability to work independently and produce actionable compliance work, not just advisory guidance.
• Ability to operate effectively in a fast-paced, global environment with evolving regulatory requirements.
• Proficiency in using compliance software and tools.
• High ethical standards and a commitment to maintaining confidentiality.
• Bachelor's degree in Finance, Business, Law, or a related field.
• Required FINRA licenses: Series 7, 24; additional licenses and designations are a plus.

Your Role:

The Director of Compliance reports to the Chief Compliance Officer and supports all aspects of the Firm’s compliance program. This role works closely across business lines and functions to ensure alignment and effective execution of compliance initiatives. The ideal candidate is proactive, highly organized, and able to manage multiple solutions and maintain strong stakeholder relationships. 

 

Things You Get To Do:

• Apply practical knowledge of FINRA rules and regulations to ensure compliance oversight across the firm.
• Partner with business units to understand workflows, monitor controls, and implement compliance process improvements.
• Draft, update, and maintain compliance policies and supervisory procedures.
• Review advertising, marketing, and electronic communications for regulatory compliance.
• Support regulatory examinations, inquiries, and requests, including gathering data, preparing documentation, and coordinating responses.
• Assist in the preparation and submission of required regulatory filings and reports.
• Assist with branch inspections and supervisory reviews, track findings, and follow up with business leads.
• Assist in the preparation and submission of required regulatory filings and reports.
• Experience with new product launches and ongoing product governance.
  
  

Who You Are (Must-Haves):

• At least 10 years of experience managing compliance matters within FINRA, SEC, and OCC jurisdictions, preferably in a broker-dealer and clearing firm environment.  
• Deep knowledge of U.S. securities regulations, including FINRA/SEC rules, and registration/licensing obligations.
• Strong written communication skills for drafting regulatory documentation and policies.
• Proven ability to work independently and produce actionable compliance work, not just advisory guidance.
• Ability to operate effectively in a fast-paced, global environment with evolving regulatory requirements.
• Proficiency in using compliance software and tools.
• High ethical standards and a commitment to maintaining confidentiality.
• Bachelor's degree in Finance, Business, Law, or a related field.
• Required FINRA licenses: Series 7, 24; additional licenses and designations are a plus.