Director Of Compliance

Quantum Group

Urbandale, IA, United States
Broker-dealer and ria business processes
Sec, finra, msrb, aml regulations
Securities industry examination principles
Manage and oversee compliance related functions for Brokers International Financial Services, LLC, ensuring business units comply with rules and regulations

Job Summary

  • Manage and oversee compliance related functions for Brokers International Financial Services, LLC, ensuring business units comply with rules and regulations.
  • Direct programs, policies, and practices, including managing a team of compliance professionals and leading annual audits and reviews.
  • Proactively review business activities to identify potential risks and provide regulatory and compliance guidance to the business on an ongoing basis.

Matching Summary

Manage and oversee compliance related functions for Brokers International Financial Services, LLC, ensuring business units comply with rules and regulations.

Skills & Requirements

Must-have

  • Broker-dealer and RIA business processes
  • SEC, FINRA, MSRB, AML regulations
  • Securities industry examination principles
  • Manage compliance team
  • Develop compliance training programs

Nice-to-have

  • Insurtech focus
  • Family-like environment
  • Hyper-growth company
  • Competitive compensation package

Key Requirements

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

Work Rights

Not specified

Tailored Resume

Cover Letter