Director, Compliance Risk Management (Training)

Responsibilities: Responsible for running and managing a compliance program for U.S. FINRA-registered broker-dealer. Tasked with establishing, maintaining, and enhancing the firm’s broker-dealer compliance framework, ensuring full compliance with applicable SEC and FINRA rules. Responsible and accountable for the design, implementation, administration, and effectiveness of the broker-dealer compliance program Advise senior management on regulatory developments, compliance risks, and control enhancements Manage an existing team of compliance professionals and continue building out Lead regulatory examinations, inquiries, and ongoing engagement with FINRA and the SEC Build and manage a high-performing compliance team supporting the broker-dealer

Qualifications: ~ Bachelor's Degree ~10+ years of relevant compliance experience, specifically in a U.S. FINRA-registered broker-dealer. ~ Strong knowledge knowledge of FINRA rules, SEC regulations, and broker-dealer supervisory requirements ~ Prior experience in a fin-tech based firm is a plus ~ Previous management experience is a must ~ Must have a Series 7 & 24 ~ Strong and established experience working directly with the various regulators