Director of Compliance

📋 Description

• Support the development and continuous improvement of the compliance program.
• Apply knowledge of FINRA, SEC, and securities regs to oversee compliance.
• Partner with business teams to understand workflows and implement controls.
• Draft, update, and maintain compliance policies and regulatory docs.
• Review advertising and communications to ensure regulatory compliance.
• Coordinate documentation for regulatory examinations and inquiries.

🎯 Requirements

• 10+ years of experience managing compliance in FINRA, SEC, and OCC.
• Strong broker-dealer, clearing firm, or financial services operations background.
• Deep knowledge of U.S. securities regulations, including FINRA and SEC rules.
• Proven ability to execute compliance initiatives and deliver practical solutions.
• Strong written communication with policies and regulatory documentation.
• Ability to manage multiple priorities in a fast-paced, evolving environment.

🎁 Benefits

• Fully remote with flexibility to work across Canada.
• Competitive salary and stock options.
• Comprehensive health benefits.
• Home office setup support with a USD 500 allowance.
• Monthly remote work stipend of USD 150.
• Opportunity to contribute to innovative financial technology solutions.