Join the World's Top Legal Talent Network

Responsibilities:

• Reporting to the CEO, manage a growing team and function and lead and manage the compliance program, including a FINRA-registered broker-dealer
• Partner with senior leadership to identify compliance risks and manage compliance priorities
• Audit existing compliance processes, policies, procedures, and controls, then recommend and implement enhancements and improvements. Conduct ongoing compliance audits, and develop and implement corrective action plans
• Maintain and nurture proactive and productive relationships with regulators, including SEC and FINRA
• Manage all communications with regulatory bodies and be fully responsible for ensuring the accuracy and timeliness of all regulatory filings. Maintain the registration program, including Gateway filings (Forms BD, U4s, U5s, etc.). Coordinate/oversee all audits, inspections, reviews and examinations
• Provide Compliance support for new product and business initiatives, including a potential registered investment advisor
• Review and provide feedback/approval on all broker-dealer marketing materials and sales outreach templates, scripts, and processes
• Identify, develop, organize, and deliver necessary compliance-related training and communications. Communicate compliance issues and trends and provide routine compliance reports to management, and to employees as appropriate
• Manage all aspects of the firm's AML compliance program, including maintenance of AML policies, conducting AML annual training, and managing annual independent audit

Requirements:

• Demonstrable experience leading a compliance program at a broker-dealer, ideally including private stock experience
• Bachelor’s degree in a related discipline; advanced degree (MBA, JD) is preferred but not required.
• Demonstrable experience building compliance systems and procedures, including leveraging technology to do so
• Experience leading/managing a compliance team
• FINRA series 14 or 24 license (must be active)