Director Of Compliance

D&D Insurance Agency Inc

Urbandale, IA, United States
Manage compliance and aml programs
Develop compliance training programs
Lead compliance audits and testing
This position will manage and oversee compliance related functions for Brokers International Financial Services, LLC, directing programs, policies, and practices to ensure compliance with rules and regulations

Job Summary

  • This position will manage and oversee compliance related functions for Brokers International Financial Services, LLC, directing programs, policies, and practices to ensure compliance with rules and regulations.
  • Essential job functions include assisting the CCO in policy development, managing day-to-day compliance operations, contributing to training programs, and leading audits and investigations.
  • The role requires advanced technical knowledge of broker-dealer and RIA business processes, thorough understanding of SEC, FINRA, and AML regulations, and the ability to communicate effectively with all levels of management.

Matching Summary

This position will manage and oversee compliance related functions for Brokers International Financial Services, LLC, directing programs, policies, and practices to ensure compliance with rules and regulations.

Skills & Requirements

Must-have

  • Manage compliance and AML programs
  • Develop compliance training programs
  • Lead compliance audits and testing
  • Oversee regulatory filings
  • Identify and mitigate regulatory risk

Nice-to-have

  • Collaborate with other departments
  • Promote compliance efforts
  • Monitor industry trends and best practices
  • Maintain high standards of confidentiality

Key Requirements

  • Four-year college or university program
  • Six to eight years related experience
  • FINRA Series 7 and 24 required
  • Broker Dealer and RIA experience preferred
  • Financial Services Industry experience required

Work Rights

Not specified

Tailored Resume

Cover Letter