Broker Dealer Compliance Lead

New

Skills

Compliance Management FINRA Guidelines Interpersonal Communication Large Data Analysis NFA Standards Professional Development Regulatory Frameworks Risk Assessment SEC Regulations Surveillance Investigations

The Head of Broker Dealer Compliance is responsible for direct management of a compliance team and overseeing workflows to ensure compliance with regulatory deadlines. This role involves reviewing reports and surveillance investigations for accuracy and advising business units on regulatory obligations and firm policies.

Key Responsibilities
  • Direct management of a compliance team and their professional development.
  • Oversee workflows to meet multiple regulatory deadlines.
  • Review reports and surveillance investigations for accuracy.
  • Advise business units on regulatory obligations, new rule proposals, and firm policies.
  • Design and maintain compliance frameworks aligned with SEC, FINRA, and NFA regulations.
  • Lead responses to regulatory examinations and inquiries.
Required Skills & Qualifications
  • Bachelor's Degree.
  • 15+ years in Compliance, Legal, Regulatory, or Financial Services.
  • Deep understanding of broker-dealer rules, margin, and derivatives.
  • FINRA Series 7 and 24 required; additional designations a plus.
  • Experience with large trade datasets and translating requirements into controls.
  • Excellent interpersonal and communication skills with all levels.

No forms. Your profile is generated instantly.

Job Type: Remote

Salary: Not Disclosed

Experience: Entry

Duration: Months

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