Director of Compliance

Director of Compliance -Broker DealerGlenn Mills, PAOn-site or Hybrid

Our client, a full-service Investment Management Solutions Firm providing, Investment Adviser Compliance Solutions, Mutual Fund Compliance Solutions, Broker Dealer Compliance Solutions, and Compliance Consulting to a diversified range of investment management clients is seeking a Director of Compliance to join their team. This firm was awarded as the Best Regulatory & Compliance Advisor by Institutional Asset Management in 2023 and is the second largest compliance firm in the US.

This Director of Compliance will report directly to the Chief Operating Officer/Managing Director and will be responsible for servicing and consulting for their broker-dealer clients. This includes

duties and functions – specifically onsite and remote consulting, providing director level support, conducting exams, customizing policies and procedures and leading clients in maintaining best in class compliance programs.The Director of Compliance will track service providers' compliance policies and procedures and summarize, along with supporting the preparation of quarterly and annual compliance reports. Most importantly, they will establish and maintain effective relationships with business partners and service providers, while showcasing a professional and executive presence.

Qualifications:Bachelor’s degree, preferably in a related field5-8 years of Compliance and/or related industry

experience, with extensive knowledge of FINRA and SEC regulationsMust hold Series 7 and 24 licenses

Experience With Rules And Regulations Applicable To Broker-dealerssubstantial

experience managing regulatory exams and responding to regulatory inquiriesAbility to keep abreast of rules, regulations, and current issues impacting clients and to be able to disseminate this information to clientsExcellent writer and communicatorAbility to initiate and drive projects to completion with minimal guidance and with a sense of urgencyStrong organization, prioritization and time management

skills