Director of Compliance

JOB DESCRIPTIONThe Senior Compliance Officer supports the firm’s compliance program across its broker-dealer, investment adviser, and insurance operations. This role is responsible for regulatory responses, customer complaint oversight, dispute and arbitration support, licensing and registrations, compliance training, continuing education programs, and other compliance support as needed. The Senior Compliance Officer assists the CCO with the firm’s compliance initiatives and leads key operational components of the firm's compliance infrastructure. REQUIRED SKILLS AND EXPERIENCE• Hands‑on compliance experience at a FINRA‑registered broker‑dealer and SEC‑registered RIA • Direct support of SEC and FINRA examinations• Drafted written regulatory exam responses and managed remediation• Direct ownership of FINRA Rule 4530 reporting (a/b and quarterly d filings)• Experience investigating and responding to customer complaints• Coordination with legal counsel and senior leadership on complaints and disclosures• Hands‑on Form U4 and U5 filings with strict adherence to 30‑day deadlines • Experience managing registrations, licenses, branch filings, and outside business activities• Experience supporting FINRA arbitration matters and working with outside counsel• Oversight of FINRA Regulatory Element requirements (S101, S201, S901) • Management of state IAR continuing education requirements and tracking• Strong written regulatory and compliance communication skills• Experience supervising, training, or mentoring compliance staff NICE TO HAVE SKILLS AND EXPERIENCE• Insurance compliance experience and interaction with state insurance departments• Experience overseeing compliance across BD, RIA, and insurance entities simultaneously• Familiarity with compliance and surveillance systems• Experience with heightened supervision programs• Experience updating or enhancing Written Supervisory Procedures (WSPs)• Background working in a fast‑growing or scaling financial services firm