We are currently working with a leading financial services firm seeking a Compliance Director, Investment Products to their growing compliance team. As a Compliance Director for Investment Products, you'll leverage your extensive expertise to design, implement, and manage a robust compliance program. You'll oversee key projects and processes, influencing strategic direction and handling complex assignments. Your role involves regular interaction with customers and regulatory bodies to address intricate issues.
Key Responsibilities:
- Develop and maintain compliance programs, policies, and procedures
- Assess and enhance compliance and risk management controls.
- Act as a subject matter expert on compliance regulations and interpretations.
- Propose compliance solutions and foster positive relationships with department and branch associates.
- Evaluate compliance risks and controls for new products and services.
- Lead, mentor, and review the work of Compliance associates.
- Serve as the primary contact for industry regulators, responding to inquiries and audits.
- Oversee compliance exception reporting and take necessary actions.
- Continuously assess department structure and strategies, promoting efficiency and adherence to compliance standards.
Qualifications:
- 10+ years in the financial services space, 5+ years in a management/leadership position
- Advanced knowledge of securities industry compliance, SEC, FINRA regulations, and state securities laws.
- Proficiency in retail and clearing firm operations, financial markets, and investment concepts.
- Expertise in regulatory notifications, compliance investigations, and decision-making.
- Well rounded investment product compliance experience
- Skilled in leading and mentoring team members, working independently and collaboratively.
- Broker dealer and/or wealth management experience
