Broker Dealer Compliance

Overview

• Drive compliance strategies for a broker dealer business, ensuring adherence to regulatory standards and internal policies in a dynamic environment.
• Collaborate across departments to develop and implement effective compliance frameworks and risk mitigation strategies.
• Monitor regulatory changes, ensuring timely updates to policies and procedures to maintain compliance.
• Conduct compliance reviews, testing, and remediation to uphold operational integrity and regulatory standards.
• Provide training and guidance on securities regulations, fostering a culture of compliance and accountability.
• Analyze and resolve compliance issues, delivering effective solutions to complex challenges.
• Maintain accurate documentation for regulatory submissions and internal records, ensuring transparency and reliability.
• Engage with regulators and stakeholders to address compliance matters effectively and professionally.

Key Responsibilities & Duties

• Develop, implement, and oversee compliance policies aligned with FINRA, SEC, and NFA regulations.
• Conduct regular compliance reviews, including transaction evaluations and operational risk assessments.
• Provide comprehensive training on compliance policies and securities regulations to employees.
• Analyze compliance issues and recommend actionable solutions to mitigate risks effectively.
• Monitor regulatory updates and adjust policies to ensure ongoing compliance and operational excellence.
• Maintain accurate and detailed documentation for regulatory submissions and internal audits.
• Collaborate with internal departments to address compliance challenges and promote adherence to standards.
• Engage with regulatory bodies to ensure smooth communication and resolution of compliance matters.

Job Requirements

• Bachelor’s degree in a relevant field or equivalent professional experience required.
• Minimum of 5 years of compliance experience in the broker dealer sector; 10 years preferred.
• FINRA Series 7 license required; Series 24 certification strongly preferred.
• In-depth knowledge of FINRA, SEC, and NFA rules and regulations essential.
• Exceptional analytical, critical thinking, and decision-making skills to address complex compliance challenges.
• Excellent verbal and written communication skills for effective collaboration and reporting.
• Proven ability to interface with regulators and organizational stakeholders professionally.
• Energetic and results-oriented professional with demonstrated leadership capabilities.
• Ability to thrive in a hybrid work environment, balancing remote and on-site responsibilities.