Director Of Compliance

D&D Insurance Agency Inc

Not specified
Broker-dealer and ria business processes
Sec, finra, msrb, aml regulations
Securities industry examination principles
D&D Insurance Agency Inc. is seeking a Director of Compliance to oversee compliance functions for Brokers International Financial Services, working closely with the Chief Compliance Officer and Chief Operating Officer. The role entails managing compliance programs, training initiatives, and regulatory oversight, requiring significant experience in the financial services industry

Job Summary

  • Manage and oversee compliance related functions for Brokers International Financial Services, LLC, working directly with the Chief Compliance Officer/Chief Operating Officer.
  • Lead annual audits, reviews, and testing of compliance programs, assist in preparing responses to regulatory inquiries, and oversee regulatory filings.
  • Integrity offers a rewarding and cutting-edge career in a family-like environment with a competitive compensation package and benefits.

Matching Summary

Match Score: 85

D&D Insurance Agency Inc. is seeking a Director of Compliance to oversee compliance functions for Brokers International Financial Services, working closely with the Chief Compliance Officer and Chief Operating Officer. The role entails managing compliance programs, training initiatives, and regulatory oversight, requiring significant experience in the financial services industry.

Skills & Requirements

Must-have

  • Broker-dealer and RIA business processes
  • SEC, FINRA, MSRB, AML regulations
  • Securities industry examination principles
  • Manage compliance professionals
  • Conduct annual audits and reviews

Nice-to-have

  • Proactive risk identification and mitigation
  • Collaborate with other departments
  • Monitor industry trends and best practices

Key Requirements

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

Work Rights

Not specified

Tailored Resume

Cover Letter