Senior Manager of Compliance
Supports the Chief Compliance Officer by overseeing regulatory compliance across business lines, maintaining policies and controls, reviewing communications, and coordinating examinations and filings. Requires 7+ years of broker-dealer compliance experience, strong FINRA/SEC knowledge, and Series 7 and 24 licenses.
About the job
Responsibilities
- Apply practical knowledge of FINRA rules and regulations to provide compliance oversight across the firm.
- Partner with business units to understand workflows, monitor controls, and implement compliance process improvements.
- Draft, update, and maintain compliance policies and supervisory procedures.
- Review advertising, marketing, and electronic communications for regulatory compliance.
- Support regulatory examinations, inquiries, and requests by gathering data, preparing documentation, and coordinating responses.
- Assist with required regulatory filings and reports.
- Assist with branch inspections and supervisory reviews, track findings, and follow up with business leads.
- Support new product launches and ongoing product governance.
Requirements
- At least 7 years of experience managing compliance matters within FINRA, SEC, and OCC jurisdictions, preferably in a broker-dealer and clearing firm environment.
- Deep knowledge of U.S. securities regulations, including FINRA and SEC rules, and registration/licensing obligations.
- Strong written communication skills for drafting regulatory documentation and policies.
- Ability to work independently and produce actionable compliance work.
- Ability to operate effectively in a fast-paced, global environment with evolving regulatory requirements.
- Proficiency with compliance software and tools.
- High ethical standards and commitment to confidentiality.
- Bachelor's degree in Finance, Business, Law, or a related field.
- FINRA Series 7 and Series 24 licenses required; additional licenses and designations are a plus.
Compensation and Benefits
- Competitive salary and stock options.
- Health benefits.
- One-time USD $500 home-office setup benefit for new hires.
- USD $150 monthly stipend via a Brex Card.
Skills
Finra Rules, Sec Regulations, Occ Regulations, U.S. Securities Regulations, Compliance Policies, Supervisory Procedures, Regulatory Filings, Branch Inspections, Product Governance, Series 7, Series 24, Compliance Software
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