Compliance Lead Role

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.