Title: AVP, Broker-Dealer Compliance
Salary: $100,000/yr-$130,000/yr
Summary: A FinTech in Greenwich, CT, is seeking an Assistant Vice President to join the Compliance team. The AVP will work closely with senior Compliance and Legal team members with a focus on broker-dealer regulatory compliance.
The AVP will be responsible for:
- Broker-dealer regulatory filings: Form BR, U4/U5s, etc.
- Advise on broker-dealer policies and procedures
- Respond to regulatory and business changes with the development and implementation of policies
- Ad hoc collaboration with the Chief Compliance Officer
The AVP should have the following qualifications:
- 4-8 years of experience with broker-dealer compliance
- Thorough understanding of the Securities Exchange Act of 1934, SEC broker-dealer regulations, FINRA
- Series 24 (or willing to complete upon hire)
- Prior fintech experience and JD a plus
