Director Of Compliance

Director of Compliance Overview

• The Director of Compliance will lead regulatory compliance frameworks supporting institutional equities, fixed income, treasury, and futures businesses.
• This role offers meaningful front-office exposure and ownership across multiple trading products.
• Supervise compliance professionals and partner with cross-functional teams to ensure regulatory adherence and operational efficiency.
• Drive sustainable improvements to policies, procedures, technology, and controls within the compliance department.
• Coordinate examinations and inquiries involving regulatory authorities, ensuring timely and accurate responses.
• Oversee compliance testing schedules and develop risk-based inspection protocols to ensure adherence to regulations.
• Lead team development initiatives, fostering a collaborative and growth-oriented environment.
• Prepare governance reporting for senior management and regulatory bodies, communicating key compliance metrics and developments.

Director of Compliance Key Responsibilities & Duties

• Provide regulatory guidance and lead compliance programs for institutional trading activities.
• Oversee regulatory reporting frameworks, ensuring compliance with obligations such as CAT/CAIS, TRACE, and LOPR.
• Manage surveillance and monitoring systems, evaluating data feeds and workflows to enhance compliance controls.
• Coordinate responses to regulatory examinations, inquiries, and trade-data requests.
• Develop risk-based compliance testing schedules, defining scope, procedures, and reporting standards.
• Serve as a senior stakeholder for compliance technology and vendor oversight, promoting automation and analytics.
• Maintain policies, procedures, and training programs, ensuring alignment with regulatory changes.
• Supervise and develop compliance professionals, establishing priorities and maintaining quality standards.

Director of Compliance Job Requirements

• Bachelor’s degree in business, finance, accounting, economics, law, or related discipline required.
• Minimum 10 years of experience in broker-dealer, financial services, regulatory, legal, audit, risk, or compliance roles.
• Strong knowledge of regulatory requirements for institutional trading activities and compliance frameworks.
• Experience with compliance technology, regulatory reporting systems, and surveillance platforms preferred.
• Advanced degree and relevant FINRA registrations such as Series 7, 24, 57, and 63 preferred.
• Proven ability to manage complex regulatory matters across departments and coordinate remediation efforts.
• Demonstrated expertise in developing policies, procedures, and sustainable compliance controls.
• Strong communication, analytical, and organizational skills with sound judgment.