Director, US Broker-Dealer Compliance
Description:
• Own and manage all Broker-Dealer compliance testing, office inspections, and best execution reviews, including SEC Rule 605/606 reporting.
• Prepare and submit regulatory filings such as Forms U4, U5, Form BD, Form BR, CMA, and MatCon.
• Serve as the primary point of contact for FINRA and SEC audits, cycle exams, and cause examinations.
• Manage FINRA Rule 4530 reporting and respond to regulatory inquiries in a timely and organized manner.
• Conduct internal and external communication and marketing reviews to ensure adherence to FINRA standards.
• Support Margin and Options compliance and related risk management activities.
• Support the New Hampshire Trust Custody program, including IRA-related compliance matters.
• Maintain the Compliance Manual and written procedures to reflect current regulatory requirements.
• Administer the Identity Theft Prevention Program (ITPP) and manage Privacy (Reg S-P) and information security notice obligations.
Requirements:
• Experience with Broker-Dealer compliance and prior interaction with FINRA and the SEC.
• FINRA registration is required, including fingerprinting.
• Series 7 and Series 24 licenses are required.
• Series 4 is strongly preferred.
• Strong organizational skills with the ability to manage a broad scope of responsibilities independently.
• Comfort working across teams and communicating directly with state and federal regulators.
• Familiarity with trust custody compliance and IRA regulations is a plus.
Benefits:
• Competitive salary of $230,000 to $280,000 per year.
• Attractive annual leave entitlement, including birthday and work anniversary leave.
• 401(k) plan with employer match.
• Company-sponsored group health, dental, vision, and life/disability insurance.
• Flexible work hours with hybrid or remote setup.
• Internal mobility program and career development opportunities.
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• Own and manage all Broker-Dealer compliance testing, office inspections, and best execution reviews, including SEC Rule 605/606 reporting.
• Prepare and submit regulatory filings such as Forms U4, U5, Form BD, Form BR, CMA, and MatCon.
• Serve as the primary point of contact for FINRA and SEC audits, cycle exams, and cause examinations.
• Manage FINRA Rule 4530 reporting and respond to regulatory inquiries in a timely and organized manner.
• Conduct internal and external communication and marketing reviews to ensure adherence to FINRA standards.
• Support Margin and Options compliance and related risk management activities.
• Support the New Hampshire Trust Custody program, including IRA-related compliance matters.
• Maintain the Compliance Manual and written procedures to reflect current regulatory requirements.
• Administer the Identity Theft Prevention Program (ITPP) and manage Privacy (Reg S-P) and information security notice obligations.
Requirements:
• Experience with Broker-Dealer compliance and prior interaction with FINRA and the SEC.
• FINRA registration is required, including fingerprinting.
• Series 7 and Series 24 licenses are required.
• Series 4 is strongly preferred.
• Strong organizational skills with the ability to manage a broad scope of responsibilities independently.
• Comfort working across teams and communicating directly with state and federal regulators.
• Familiarity with trust custody compliance and IRA regulations is a plus.
Benefits:
• Competitive salary of $230,000 to $280,000 per year.
• Attractive annual leave entitlement, including birthday and work anniversary leave.
• 401(k) plan with employer match.
• Company-sponsored group health, dental, vision, and life/disability insurance.
• Flexible work hours with hybrid or remote setup.
• Internal mobility program and career development opportunities.
Apply tot his job
Apply To this Job