Financial Services Compliance Director

5 days ago

Wesley Chapel, United States Riptide Search Full time

Position Overview:

We are seeking an experienced Compliance Director with a FINRA Series 24 (General Securities Principal) license to lead and manage the compliance program within our financial services organization. This role ensures adherence to regulatory requirements, mitigates compliance risks, and fosters a culture of ethical business practices. The ideal candidate will bring strong regulatory knowledge, leadership abilities, and a proactive approach to managing compliance in a dynamic environment.

Key Responsibilities:

Regulatory Oversight:

  • Serve as the primary contact for FINRA, SEC, and other regulatory bodies.
  • Ensure the firm's activities comply with applicable federal securities laws and FINRA regulations.
  • Lead the preparation and submission of regulatory filings, examinations, and audits.


Policy Development and Implementation:

  • Develop, update, and enforce compliance policies and procedures to address emerging regulations and industry best practices.
  • Monitor and assess the effectiveness of compliance controls and risk management frameworks.


Supervision and Training:

  • Oversee supervisory activities in alignment with the Series 24 responsibilities, including the review of advertising, marketing, and communication materials.
  • Conduct regular training programs for staff on compliance requirements and ethical standards.


Monitoring and Reporting:

  • Perform ongoing reviews and risk assessments to identify potential compliance gaps.
  • Maintain comprehensive records of compliance activities and report findings to senior management and board members.


Collaboration and Leadership:

  • Lead a team of compliance professionals, providing mentorship and direction.
  • Collaborate with legal, risk management, and operational teams to address compliance-related issues.


Qualifications:

  • Licensing: Active FINRA Series 24 license is required. Additional FINRA licenses (e.g., Series 7, 63/66) are preferred.
  • Experience:
  • 8+ years of experience in compliance, risk management, or regulatory roles within financial services.
  • Proven track record in a leadership position managing compliance functions.


Skills and Knowledge:

  • In-depth knowledge of FINRA, SEC, and other relevant regulatory frameworks.
  • Strong analytical skills with the ability to assess complex regulatory issues.
  • Excellent communication and interpersonal skills for interaction with regulators and internal stakeholders.
  • Proficiency in compliance software and reporting tools.

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