Director Of Compliance

Lion Street

Broker-dealer and ria business processes
Sec, finra, msrb, aml regulations
Regulatory inquiry and examination response
Manage and oversee compliance related functions for Brokers International Financial Services, LLC, ensuring all business units comply with rules and regulations

Job Summary

  • Manage and oversee compliance related functions for Brokers International Financial Services, LLC, ensuring all business units comply with rules and regulations.
  • Lead annual audits, reviews, and testing of compliance programs, and assist in preparing responses to regulatory inquiries and examinations.
  • Develop/initiate corrective action for identified risks and provide ongoing regulatory and compliance guidance to the business.

Matching Summary

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

Skills & Requirements

Must-have

  • Broker-dealer and RIA business processes
  • SEC, FINRA, MSRB, AML regulations
  • Regulatory inquiry and examination response
  • Compliance program audits and testing
  • Manage compliance team

Nice-to-have

  • Proactive risk identification and mitigation
  • Cross-departmental collaboration
  • Industry trend monitoring and recommendations

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

Work Rights

Not specified

Tailored Resume

Cover Letter