Description

You will lead and enhance compliance operations and marketing functions at an innovative registered investment adviser and broker-dealer, managing a team of six, overseeing regulatory changes, exams, audits, and ensuring adherence to SEC and FINRA rules.

Requirements

• Deep experience in financial services compliance
• Experience managing small teams
• Knowledge of FINRA and SEC rules
• Strong organization and time management skills
• Series 24 preferred

Responsibilities

• Manage and develop a team of six junior and mid-level employees
• Facilitate operation of the compliance program
• Manage law, rule, and regulation inventory, policies, regulatory change process, exams, and audits
• Manage compliance key risk indicators and monitoring/testing program
• Oversee marketing materials review for SEC Rule 206(4)-1, FINRA 2210, Reg DD