Director of Compliance

Responsibilities

• Lead compliance risk management to ensure compliant operations across business lines
• Support the Chief Compliance Officer in managing the compliance and ethics program
• Manage the Governance, Risk, and Compliance program for regulatory risk management
• Administer the company's policy governance program
• Develop a comprehensive AI governance framework for ethical AI deployment
• Execute monitoring and testing for compliance with securities laws
• Oversee control evaluations and reporting for regulated entities

Qualifications

• 10+ years of compliance experience in a broker-dealer or investment advisory firm
• FINRA Series 7 and 24 or Series 14; willing to obtain further registrations
• Strong knowledge of FINRA, MSRB, and SEC rules
• Experience with mutual funds, money market funds, ETFs, margin products, and 529 plans preferred
• Excellent organizational skills in high-paced environments

Pay

$215,000 – $246,875 annually

Schedule

Remote - US based candidates only, no visa sponsorship available

Benefits

• Medical, vision, and dental coverage
• 401K plan
• Generous time off and parental leave
• Wellness reimbursements
• Professional development opportunities
• Employee investing discount

Our Client

Our client is an equal opportunity employer. We encourage you to apply even if you don’t meet every qualification—your background could be exactly what this team needs.