Head of Compliance, US

Responsibilities

• Act as the designated Head of Compliance and FINRA Principal of the U.S. broker-dealer.
• Develop, implement, and maintain: Written Supervisory Procedures (WSPs), Compliance Manual, Code of Ethics, Conflicts of Interest policies.
• Ensure compliance with: Securities Exchange Act of 1934; FINRA rules and guidance; Applicable state securities laws.
• Oversee supervisory systems for: Registered representatives, sales and distribution activities, and communications with the public.
• Review and approve: offering memoranda and risk disclosures; Marketing and investor communications.
• Monitor product developments to ensure continued regulatory alignment.

Product & Disclosure Governance

• Serve as the designated AML Compliance Officer.
• Oversee: Customer Identification Program (CIP); Enhanced Due Diligence (EDD) for institutional and crypto-related clients; Sanctions screening and escalation; SAR monitoring and filing.

Regulatory Engagement & Examinations

• Act as primary point of contact with Federal and State regulators.
• Licenses Required or Immediately Obtainable: FINRA Series 7 - General Securities Representative, FINRA Series 24 - General Securities Principal, Series 66 - Uniform Combined State Law Exam.
• Minimum 8-12 years of compliance or regulatory experience at: Broker-dealers, Investment banks or Structured products firms.
• Demonstrated experience in drafting and maintaining WSPs, managing FINRA examinations, supporting or leading New Member Applications or material business expansions.
• Experience with: Structured notes, fixed income, or derivative-linked securities with Institutional or accredited investor distribution models.

Qualifications

• Minimum 8-12 years of compliance or regulatory experience at: Broker-dealers, Investment banks or Structured products firms.
• Demonstrated experience in drafting and maintaining WSPs, managing FINRA examinations, supporting or leading New Member Applications or material business expansions.
• Experience with: Structured notes, fixed income, or derivative-linked securities with Institutional or accredited investor distribution models.

Skills

• Compliance and regulatory experience.
• Ability to manage supervisory systems.
• Knowledge of FINRA rules and guidance.
• Experience with structured notes, fixed income, or derivative-linked securities.

Benefits

The environment we offer includes:

• A tightly-knit team where your voice is heard.
• A high level of autonomy at work.
• A focus on substance, not form.
• Support for staff development.
• Flexible working arrangements.
• A casual and fun work environment.