Director, Regulatory Compliance

What You’ll Do

• Lead the Firm's responses to examinations, inquiries, sweeps, requests, and meetings involving FINRA, the SEC, state securities regulators, and other authorities.
• Serve as a primary regulatory contact, maintain professional and responsive communication with examination staff, and ensure questions, concerns, and follow-up requests are addressed promptly and accurately.
• Scope each regulatory matter; identify applicable requirements, risks, stakeholders, records, deadlines, dependencies, and escalation points; and establish a written response plan.
• Direct the collection, review, validation, and production of documents and data.
• Perform or oversee quality-control and gap analyses to confirm submissions are accurate, complete, consistent, and responsive.
• Draft, review, and approve clear, factual, and well-supported written responses on behalf of the Firm.
• Prepare thoroughly for leadership and regulatory meetings.
• Present complete facts, regulatory context, risk analysis, alternatives, recommendations, and next steps, and be prepared to answer questions about the matter.
• Track regulatory requests, commitments, findings, remediation plans, and due dates through closure.
• Escalate delays, deficiencies, resource constraints, or material risks promptly.
• Career and regulatory findings remediation, and regulatory reporting.
• Maintain organized, complete, and retrievable books and records for examinations, inquiries, complaints, investigations, filings, findings, and remediation activities.
• Monitor regulatory developments and evaluate whether changes require updates to policies, procedures, controls, training, disclosures, reporting, or business practices.
• Analyze regulatory events, complaint patterns, examination results, and investigative findings to identify trends, recurring conduct, control gaps, and training or policy needs.
• Partner with Legal, Risk, Internal Audit, business leaders, operations, technology, and other internal stakeholders to obtain accurate information and implement sustainable corrective action.
• Provide timely and accurate reporting to senior management, committees, and boards, as applicable, regarding regulatory activity, material risks, trends, findings, and remediation status.
• Support independent registered representatives and investment adviser representatives by providing clear, practical guidance on regulatory matters within the role's scope.
• Maintain the Regulatory Compliance function's department procedures, continuity plans, system access requirements, and operational readiness.

Leadership and Supervisory Responsibilities

• Directly supervise and develop Regulatory Compliance personnel.
• Establish clear roles, priorities, service standards, quality expectations, escalation protocols, and accountability for the team.
• Assign work based on risk, complexity, expertise, capacity, and deadlines; monitor progress and rebalance resources as needed.
• Review team work product for factual accuracy, completeness, regulatory relevance, clarity, consistency, and readiness before submission or presentation.
• Coach staff to conduct independent analysis, anticipate questions, identify procedural gaps, develop recommendations, and communicate confidently with stakeholders.
• Ensure team members are trained and prepared to manage examinations, inquiries, complaints, investigations, filings, and other assigned regulatory matters.
• Promote a culture of preparedness, ownership, candor, professionalism, empathy, continuous improvement, and appropriate escalation.
• Absess staffing, workflow, technology, and training needs and recommend improvements to strengthen the Regulatory Compliance program.