Broker-Dealer Compliance Operations

Overview

• Lead regulatory governance and compliance operations for a U.S. broker-dealer, ensuring adherence to SEC and FINRA regulations.
• Manage regulatory calendars, oversee examinations, and coordinate audits to maintain compliance readiness.
• Collaborate with Finance, Operations, and Central Compliance to enhance control environments and regulatory interfaces.
• Develop and maintain supervisory frameworks, policies, and procedures to ensure compliance with industry standards.
• Oversee licensing, registration updates, and regulatory reporting to ensure timely and accurate submissions.
• Implement compliance testing programs to identify risk areas and ensure effective risk management.
• Coordinate training programs and governance meetings to promote compliance awareness and adherence.
• Maintain books and records in accordance with SEC rules, ensuring accurate documentation and retention.
• Partner with IT to innovate compliance solutions and enhance operational efficiency.

Key Responsibilities & Duties

• Manage regulatory calendars and obligations, ensuring timely compliance with SEC and FINRA requirements.
• Coordinate examinations, audits, and inquiries, driving remediation and maintaining evidence logs.
• Oversee licensing, registrations, and entitlements, collaborating with central compliance teams.
• Develop and maintain supervisory frameworks, policies, and procedures for Treasury and Operations.
• Implement compliance testing programs, identifying risk hotspots and ensuring effective risk management.
• Coordinate governance meetings and training programs to promote compliance awareness and adherence.
• Maintain books and records in compliance with SEC rules, ensuring accurate documentation and retention.
• Collaborate with IT to innovate compliance solutions and enhance operational efficiency.
• Partner with Finance on regulatory rule interfaces to ensure compliance with financial regulations.

Job Requirements

• Bachelor of Arts (BA) degree required, with a focus on compliance or related fields preferred.
• 7–10+ years of experience in U.S. broker-dealer compliance or assurance, with SEC/FINRA exposure.
• Preferred certifications include FINRA Series 7, 14, 27 or 27.
• Hands-on experience with FINRA Gateway, CAT/CAIS, EBS/LOPR, and workflow trackers like JIRA.
• Strong understanding of FINRA Rules 3110/3120/3130/3310, SEC 17a-3/17a-4, and financial regulations.
• Demonstrated exam management skills, including mock exams, evidence packs, and remediation plans.
• Excellent writing, critical thinking, stakeholder management, and project management abilities.
• Experience in Finance, Treasury/Operations coverage, including cash movements and custody interfaces.
• Proficiency in program management, regulatory judgment, and disciplined documentation approaches.