Responsibilities:

📍Provide compliance advisory and support to the broker-dealer business and oversee the development of the broker-dealer compliance program 📍Maintain the broker-dealer’s AML Program 📍Respond to regulatory requests and inquiries as well as serving as a lead in regulatory exams related to the broker-dealer 📍Draft, maintain, and implement Written Supervisory Procedures and other internal policies and procedures 📍Collaborate cross-functionally with technology, product, and legal teams on trading system operations to ensure compliance with regulation and regulatory expectations 📍Provide input on compliance tools and technologies for effective compliance monitoring and oversight of the broker-deal business 📍Advise on core compliance matters including registrations, employee trading, outside business activities, and continuing education requirements 📍Oversee trade compliance, reporting, and record-keeping requirements 📍Review and approve advertising, marketing, and sales materials 📍Monitor changes in regulations that may impact the broker-dealer business and advise internal stakeholders on potential impact

Minimum Qualifications:

📍BA/BS degree 📍Active FINRA Series 7, 63, 24 Licenses
📍8+ years of securities and regulatory compliance advisory experience 📍Deep expertise in broker-dealer operations and associate regulatory framework 📍Strong understanding of FINRA and SEC Compliance Requirements, specifically Regulation ATS 📍Comfort in a technology-forward company and facility with computer and web-based applications, including Google GSuite, case management systems, and web-based databases 📍Superior writing skills, including the ability to analyze and assess large amounts of information into succinct responses 📍Ability to work independently 📍Authorization to work in the United States and fluency in English

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