Job Description

• Lead with Vision: Inspire and manage a talented team of compliance professionals, fostering a culture of excellence and continuous improvement.
• Stay Ahead of the Curve: Monitor and anticipate regulatory changes, advising senior management on emerging risks and critical deadlines.
• Innovate with Technology: Implement and leverage cutting-edge compliance technologies to enhance our surveillance capabilities.
• Engage Proactively: Communicate effectively with supervisors, registered representatives, and advisory representatives, ensuring everyone is aligned and informed.
• Navigate Complexities: Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators, demonstrating your expertise and confidence.
• Organize with Precision: Ensure timely completion of regulatory filings, audits, and internal reviews.
• Lead Investigations: Administer our robust Anti-Money Laundering (AML) Program, safeguarding the firm against financial crimes.
• Evaluate and Improve: Conduct thorough risk assessments and internal reviews, testing the effectiveness of our policies and procedures while driving continuous improvement.

• At least 8 years in compliance, with deep knowledge of FINRA and SEC regulations.
• Self-directed brokerage experience desired.
• Series 7, 24, and 65/66 licenses required.
• A Bachelor's Degree is essential, and CAMS certification is preferred.
• Exceptional organizational, analytical, and problem-solving abilities.
• Stellar written and verbal communication skills, with the ability to influence and engage at all levels.
• A proven ability to multitask and thrive in a fast-paced environment.
• Strong team player with excellent coaching, feedback, and listening skills.
• Comprehensive understanding of regulatory requirements for broker-dealers and investment advisors, with experience across various investment products.

• Innovative trading platform!
• Supportive team culture!
• Career advancement opportunities!
• Focus on professional growth!
• Competitive salary and benefits!
• Work with industry experts!
• Cutting-edge technology!
• Client-centric approach!
• Dynamic work environment!
• Strong reputation in finance!

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