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Compliance Lead Role

New

Skills

AI governance Compliance technology (ComplySci) FINRA compliance Global Relay Incident management Licensing (SIE, Series 7, Series 24) Policy development Regulatory filings SEC compliance Strong written communication

We are seeking a Compliance Lead to own the end-to-end compliance program for our Broker-Dealer (BD) and Registered Investment Adviser (RIA) operations, with a focus on AI governance. This role involves leading FINRA and SEC matters, managing regulatory filings and exams, and developing comprehensive compliance policies.

Key Responsibilities
  • Own the BD and RIA compliance program, including AI governance.
  • Lead all FINRA and SEC matters, including filings, exams, and controls testing.
  • Manage relationships with compliance consultants to ensure effective coverage.
  • Develop and update compliance policies across BD/RIA, including Reg SP, complaints, and books/records.
  • Oversee incident management, escalation processes, and trend reporting to the Head of Compliance.
  • Collaborate with Legal, Product, Finance, Marketing, Sales, and FinCrime teams.
Required Skills & Qualifications
  • 7+ years of experience in FINRA BD and SEC registered adviser compliance.
  • Proven track record of owning regulatory filings (BD/ADV/U4/U5/CRS) and exams.
  • Familiarity with compliance technologies (e.g., ComplySci, Global Relay) and AI governance.
  • Strong written communication skills, with the ability to defend documentation under regulatory scrutiny.
  • Active SIE, Series 7, and Series 24 licenses.
  • Experience in fintech-integrated RIA/BD and AI governance in regulated environments.

No forms. Your profile is generated instantly.

Job Type: Remote

Salary: Not Disclosed

Experience: Entry

Duration: Months

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