Confidential
About the Company
Prominent financial services company
Industry
Financial Services
Type
Privately Held
Founded
1859
Employees
5001-10,000
Categories
Banking
Consulting
Financial Services
Insurance
Savings & Investing
Consulting & Professional Services
Investing
Investment Management
Financial Advisers
Tax Services
Risk Analysis
Employee Management
Asset Management
Finance
About the Role
The Company is excited to invite applications for the Director of Compliance to become a vital part of their dynamic team. In this influential role, you will lead the development and management of a robust compliance program. Your responsibilities will encompass providing expert compliance support within wholesale distribution functions, ensuring rigorous adherence to regulatory standards set by FINRA, SEC, State, and Insurance departments, and overseeing the EDL's compliance framework for regulatory mandates.
Key responsibilities include:
Managing regulatory examinations, inquiries, and reviews.
Leading and mentoring a dedicated compliance team to deliver day-to-day support and manage insurance licensing/FINRA registration processing.
Staying abreast of regulations and trends affecting the industry.
The ideal candidate will possess a Bachelor's degree, along with FINRA Series 6 or 7 and 26 or 24 certifications. We seek professionals with at least 7 years of strong compliance experience, ideally within a wholesale distributing broker dealer context. A thorough understanding of SEC, FINRA, and State Insurance laws, as well as familiarity with variable products and mutual funds, is essential.
The perfect fit for this position will exhibit the following key skills:
Ability to manage multiple priorities effectively.
Independent working style with proactive problem-solving capabilities.
Creativity in compliance strategies while ensuring a high level of accuracy and attention to detail.
Join us for this opportunity to make an impactful contribution to a leading financial services firm while driving compliance excellence!
Hiring Manager Title
Equitable Financial Chief Compliance Officer
Travel Percent
Less than 10%
Functions
Finance