Lead, Broker Dealer Compliance
Skills
- Active FINRA Series 7, 63, and 24 licenses
- 8+ years of securities and regulatory compliance advisory experience
- Deep knowledge of broker-dealer operations and regulatory frameworks
- Strong understanding of FINRA and SEC compliance requirements, including Regulation ATS
- Experience maintaining AML programs
- Comfort working with technology and web-based applications (Google GSuite, case management, databases)
- Superior written and verbal communication skills
- Ability to work independently and in cross-functional teams
- Authorization to work in the United States and fluency in English
Responsibilities
- Provide compliance advisory and oversight for the broker-dealer business and develop the broker-dealer compliance program
- Maintain and administer the broker-dealer AML Program
- Serve as lead for regulatory requests and examinations related to the broker-dealer
- Draft, maintain, and implement Written Supervisory Procedures and related internal policies
- Collaborate with technology, product, and legal teams on trading system operations to ensure regulatory compliance
- Evaluate and recommend compliance tools and monitoring technologies
- Advise on registrations, employee trading, outside business activities, and continuing education
- Oversee trade compliance, reporting, and record-keeping obligations
- Review and approve advertising, marketing, and sales materials for compliance
- Monitor regulatory developments and advise stakeholders on impact to broker-dealer operations
Education
- BA/BS degree required
- Advanced degree (JD, MBA) preferred
Benefits
- Competitive starting salary
- Discretionary annual bonus
- New hire equity grant (long-term incentive)
- Comprehensive health plans
- 401(k) with company matching
- Paid parental leave
- Flexible time off and hybrid work approach
Average salary estimate
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