Head of Compliance
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The role
Lead a risk-based compliance program for a dual-registered RIA/Broker-Dealer in a dynamic financial services firm.
Design, implement, and maintain robust policies, procedures, and written supervisory procedures (WSPs).
Oversee regulatory examinations and ensure adherence to SEC and FINRA standards.
Collaborate with the leadership team to assess new business initiatives and manage external vendors.
Provide practical guidance on compliance issues, develop training programs, and drive a culture of accountability.
Operate in a hybrid role with occasional on-site leadership meetings and minimal travel, overseeing advisory and brokerage operations.
Design, implement, and maintain robust policies, procedures, and written supervisory procedures (WSPs).
Oversee regulatory examinations and ensure adherence to SEC and FINRA standards.
Collaborate with the leadership team to assess new business initiatives and manage external vendors.
Provide practical guidance on compliance issues, develop training programs, and drive a culture of accountability.
Operate in a hybrid role with occasional on-site leadership meetings and minimal travel, overseeing advisory and brokerage operations.
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