Sr. Director, Compliance

📋 Description

• Lead compliance operations and program execution.

• Manage a team and ensure compliance routines run on time.

• Oversee policies, regulatory changes, exams and audits.

• Prepare committee presentations on compliance program.

• Maintain monitoring, testing, governance, and reporting.

• Collaborate with marketing and vendor oversight teams.

🎯 Requirements

• Deep experience in financial services compliance.

• Experience leading small teams and cross-functional work.

• Knowledge of FINRA and SEC rules.

• Strong organizational and time management skills.

• Meticulous attention to detail and communication.

• Series 24 preferred.

🎁 Benefits

• Competitive benefits: health, dental, and vision; life insurance.

• 401(k) with employer match.

• Equity package and discretionary bonus eligibility.

• Flexible PTO.

• Professional development opportunities.

• Lunch from our NYC office for on-site days.