Direct management of a compliance team and professional development.
Oversee workflows to meet multiple regulatory deadlines.
Review reports and surveillance investigations for accuracy.
Advise business units on regulatory obligations, new rule proposals, and firm policies.
Design and maintain compliance frameworks aligned with SEC, FINRA, NFA.
Lead responses to regulatory examinations and inquiries.

🎯 Requirements

Bachelor's Degree.
15+ years in Compliance, Legal, Regulatory, or Financial Services.
Deep understanding of broker-dealer rules, margin, and derivatives.
FINRA Series 7 and 24 required; additional designations a plus.
Experience with large trade datasets; translate requirements into controls.
Excellent interpersonal and communication skills with all levels.

🎁 Benefits

Competitive compensation and equity
401(k) match
Full insurance coverage
Wellness reimbursement
Company-provided phone
Generous PTO and holidays

Apply on employer's website

This employer gathers applications via their own applicant tracking system.

You will be redirected to an external application form.

Share job

Meet JobCopilot: Your Personal AI Job Hunter

Automatically Apply to Legal Jobs. Just set your preferences and Job Copilot will do the rest — finding, filtering, and applying while you focus on what matters.

Activate JobCopilot