VP Broker Dealer Compliance

Job Title:Broker Dealer ComplianceJob Description:As a member of the Compliance team, the Compliance Director will play a lead role in all aspects of the firms operational and regulatory compliance programs. The Compliance Director will also work on special projects as assigned and assist on other matters relating to the business as requested.The CCO is excited to onboard someone who is driven, takes initiative, and has a command of compliance programs. The the firms Compliance team is dedicated to managing the next generation of compliance risk in a complex and volving regulatory environment. This role requires deep expertise in securities regulation, particularly SEC and FINRA rules. This role will work closely with members of the Compliance team covering a broad range of broker-dealer business lines and regulatory compliance work. Job Responsibilities:In this role, you’ll assist in leading a compliance program including:· Oversee and manage regulatory examinations, inquiries, and other engagements administered by state and federal regulatory entities including SEC, FINRA and the exchanges· Oversee adherence to SEC, FINRA, MSRB securities laws· Assist with the creation and maintenance of compliance frameworks, policies, and procedures supporting U.S. broker-dealer regulatory obligations· Work closely with the line of business supervisors and the compliance team as necessary to address potential issues with alignment with regulatory requirements · Conducting research on various regulatory and compliance matters affecting the Firm’s business linesServe as the lead for proper trade reporting with various internal business linesProvide senior oversight of pre-trade compliance monitoring the Firm’s OMS, resolving complex exceptions and advising tradersMaintain a comprehensive compliance program under FINRA Rule 3110 (Supervision) and 3120 (Supervisory Control System)Advise on new products, trading strategies and market structure changesOversee policies related to short sales (Reg SHO), trade reporting (TRACE, CAT/CAIS)Oversee issue management, root-cause analysis, and corrective action plansInvolvement in other ad-hoc compliance projects and initiatives that support business enhancements and growth. Company Requirements:Required Qualifications:· Excellent interpersonal skills, organizational and communication skills (verbal and written)· Deep knowledge of Broker Dealer and financial industry rules and regulations, having previously worked in securities compliance role· Experience with FINRA and SEC regulations on BDs (Broker-Dealer)· Experience in Fixed Income markets background a plus· Experience building regulatory functions· Excellent organizational skills and ability to manage multiple priorities · Strong initiative bringing ideas, projects, tasks and new controls to the table· Self-motivated and able to work independently · Ability to work productively in a team-oriented environment · Ability to reach sound judgement and act quickly under tight deadlines· Can manage multiple workstreams involving different partners and groups