Director, US Broker-Dealer Compliance

This is a fully remote position, open to applicants in United States.

📋 Description

• Take ownership of and oversee all compliance testing, office inspections, and best execution reviews, including SEC Rule 605/606 reporting.

• Prepare and file regulatory documents such as Forms U4, U5, Form BD, Form BR, CMA, and MatCon.

• Act as the main point of contact during FINRA and SEC audits, cycle examinations, and cause assessments.

• Manage FINRA Rule 4530 Reporting and ensure timely and organized responses to all regulatory inquiries.

• Facilitate internal and external communications, as well as marketing reviews, to guarantee compliance with FINRA standards.

• Assist in Margin and Options compliance and risk management efforts.

• Provide support for the NH Trust Custody program, including compliance matters related to IRAs.

• Keep the Compliance Manual and all pertinent written procedures up to date with regulatory changes.

• Oversee the Identity Theft Prevention Program (ITPP) and handle Privacy (Reg S-P) and Information Security notice requirements.

⛳️ Requirements

• Proven experience in Broker-Dealer compliance, with prior engagement with FINRA and the SEC.

• FINRA registration is mandated, including fingerprinting; Series 7 and Series 24 are essential, while Series 4 is highly desired.

• Excellent organizational abilities with the capacity to independently manage a wide range of responsibilities.

• Comfortable collaborating across teams and communicating directly with state and federal regulators.

• Knowledge of trust custody compliance and IRA regulations is advantageous.

🏝️ Benefits

• Competitive salary.

• Appealing annual leave benefits, including birthday and work anniversary time off.

• 401(k) plan featuring employer matching.

• Eligibility for company-sponsored health, dental, vision, and life/disability insurance.

• Flexible work arrangements, including flexible hours and hybrid or remote options.

• Opportunities for career advancement through our internal mobility program, offering employees a diverse range of options.