Compliance Director

📋 Description

• Lead regulatory compliance for FINRA broker-dealer and SEC advisers.
• SME for clearing-related compliance matters.
• Conduct trade surveillance and monitoring on the platform.
• Own Insider Trading Policy; supervise employee surveillance and exceptions.
• Coordinate regulatory responses with operations/tech; clearing-ops SME.
• Lead customer complaint lifecycle and quarterly regulatory filings.
• Collaborate on new clearing product initiatives; establish guardrails and risk determinations.
• SME on product and marketing compliance under SEC/FINRA rules.
• Support core compliance functions: employee compliance, surveillance, vendor oversight.
• Develop and monitor compliance policies; support regulatory exams and inquiries.
• Identify and escalate emerging compliance risks; propose policy improvements.

🎯 Requirements

• 8+ years of hands-on compliance at a FINRA-member broker-dealer with deep clearing ops knowledge.
• Strong knowledge of FINRA and SEC rules and ability to apply pragmatically.
• B.A./B.S. degree in a relevant field.
• Active Series 7 and Series 24 licenses; Series 4 required within 90 days.
• Tech-savvy, able to quickly learn modern tech stacks.
• Excellent communication, ownership, and problem-solving skills.

🎁 Benefits

• Hybrid work schedule for in-person collaboration.
• Office spaces in Culver City, SF, and Dallas.
• Competitive pay and equity for eligible positions.
• Premium healthcare, dental, and vision insurance (HMO/PPO).
• 401k with a 4% match and immediate vesting.
• 16 weeks paid parental leave.