Senior Compliance Manager

A company is looking for a Senior Manager of Compliance to ensure regulatory standards are met and to support the compliance program.

Key Responsibilities

Modify, update, and implement compliance policies and procedures in response to regulatory and business requirements

Collaborate with business partners to ensure adherence to regulatory standards and support day-to-day compliance activities

Manage a small team, providing guidance and mentorship to ensure the success of the compliance program

Required Qualifications

FINRA Series 7 and 24 required; Series 65 or 66 must be obtained within the first 90 days

7+ years of compliance experience with SEC Registered Investment Adviser or Broker Dealer

BS / BA Degree or equivalent required

Experience with SEC and FINRA rules and regulations, particularly the SEC Marketing Rule and FINRA Rule 2210

At least 2+ years of experience managing and developing team members