The Compliance Director is responsible for overseeing and managing the firm’s compliance programs and ensuring adherence to all applicable FINRA, SEC, and state regulatory requirements. This role will lead compliance monitoring, internal policies, audits, and examinations, while also managing a team of compliance and/or operations professionals.
Note: This is a full-time position that will grow into a CCO role eventually.
Key Responsibilities
· Execute and manage the firm’s overall compliance framework and annual compliance programs.
· Oversee daily compliance operations, including employee trade monitoring, advertising review, Form ADV updates, and regulatory filings (e.g., Form U4/U5, Form CRS).
· Serve as a liaison with FINRA and the SEC during regulatory audits, exams, and inquiries. Also acts as primary liaison with clearing firm, addressing regulatory and operations requests promptly.
· Ensure timely and accurate compliance with CATS (Consolidated Audit Trail) and CAIS (Customer and Account Information System) reporting obligations.
· Manage a team of compliance and/or operations associates, providing leadership, performance feedback, and career development guidance.
· Conduct internal compliance reviews and risk assessments to identify potential vulnerabilities and implement corrective actions.
· Monitor regulatory updates and industry developments, assessing their impact on firm policies and procedures.
· Assist in the development and delivery of compliance training programs for advisors and staff.
· Maintain records and documentation to support firm policies, procedures, and compliance with regulatory obligations.
· Ad hoc projects and initiatives as needed
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