Compliance Director Role

New

Skills

Compliance Program Management Continuing Education Programs FINRA Regulations Insider Trading Compliance Investment Adviser Compliance Licensing and Registration Regulatory Response Risk Management SEC Marketing Rule Team Leadership

The Compliance Director is responsible for overseeing marketing compliance, employee compliance, and third-party RIA regulatory requests. This role ensures adherence to FINRA 2210 and the SEC Marketing Rule while leading a team to maintain compliance across various programs.

Key Responsibilities
  • Oversee marketing compliance and ensure adherence to FINRA 2210 and SEC Marketing Rule.
  • Manage employee compliance, including licensing, registration, continuing education, and insider trading programs.
  • Respond to regulatory requests regarding RIAs on Altruist's platform.
  • Lead reviews of WSPs and product compliance for launches and material changes.
  • Coach and guide the compliance team while partnering with executives and regulators.
Requirements & Qualifications
  • 10+ years of hands-on compliance experience at a broker-dealer or investment adviser (IA).
  • 3+ years of experience in a leadership role.
  • Strong investment adviser compliance experience preferred.
  • Deep knowledge of FINRA and SEC rules, specifically FINRA 2210 and the SEC Marketing Rule.
  • Series 7 and Series 24 required; Series 4 preferred within 90 days.
  • Bachelor's degree in a relevant field.
  • Strong executive presence.

No forms. Your profile is generated instantly.

Job Type: Remote

Salary: Not Disclosed

Experience: Entry

Duration: Months

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