FINRA Licensed Compliance Director

A company is looking for a Director of Compliance.

Key Responsibilities

Ensure compliance oversight by applying knowledge of FINRA rules and regulations

Collaborate with business units to monitor controls and implement compliance improvements

Draft and maintain compliance policies and assist with regulatory examinations and filings

Required Qualifications

At least 10 years of experience in compliance within FINRA, SEC, and OCC jurisdictions

Deep knowledge of U.S. securities regulations and registration / licensing obligations

Bachelor's degree in Finance, Business, Law, or a related field

Required FINRA licenses : Series 7, 24; additional licenses are a plus

Proficiency in compliance software and tools