Director of Compliance

Director of Compliance job description: manage and oversee compliance related functions, direct programs and policies, assist in regulatory inquiries and examinations, and provide regulatory and compliance guidance to business. Must have advanced technical knowledge of broker-dealer and RIA business processes, proficiency with examination principles and practices, and ability to identify, weigh and convey potential risks.

Requirements

• Assist CCO in development and maintenance of firm policies, procedures, and guidelines
• Manage day-to-day operation of the firm's compliance and AML programs
• Contribute to the development of an effective compliance training program
• Manage a team of compliance professionals
• Lead annual audits, reviews, and testing of compliance programs
• Assist in the preparation of responses to regulatory inquiries and examinations, and customer complaints
• Oversee regulatory filings for the organization's entities
• Proactively review business activities to identify potential regulatory, compliance, and reputational risk
• Develop/initiate corrective action for the identified risks
• Provide regulatory and compliance guidance to business on ongoing basis
• Partner with other departments to collaborate and promote compliance efforts
• Participate in organization committees on behalf of compliance
• Monitor and evaluate industry trends, regulatory changes, and best practices

Benefits

• Competitive compensation package
• Benefits that make work more fun and give you and your family peace of mind