Director of Compliance

📋 Description

• Support development and continuous improvement of the compliance program.
• Apply FINRA, SEC, and securities regulations to provide oversight.
• Partner with business teams to implement compliance controls and improvements.
• Draft, update, and maintain compliance policies and procedures.
• Review marketing and electronic communications for regulatory compliance.
• Support regulatory examinations and filings coordination.

🎯 Requirements

• 10+ years in FINRA/SEC/OCC compliance leadership.
• Background in broker-dealer, clearing firm, or financial services.
• Deep knowledge of U.S. securities regulations and licensing.
• Ability to independently execute compliance initiatives with practical solutions.
• Degree in Finance/Business/Law; FINRA Series 7 and 24 licenses.
• Strong written communication and regulatory documentation skills.

🎁 Benefits

• Fully remote opportunity across United States.
• Competitive salary package and stock options.
• Comprehensive health benefits.
• Home office setup allowance of USD 500.
• Monthly remote work stipend of USD 150.
• Career growth opportunities in a rapidly expanding organization.