Director of Broker Dealer Compliance

Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance!Responsibilities:Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and privatenon-listed investment productsProvide technical guidance and expertise, promote examination preparedness and remain up-to-date on regulatory developments and industry best practicesSupport Chief Compliance Officers in liaising with regulatory authorities, responding to inquiries and coordinating regulatory examinationsHelp maintain and implement the firm's adviser, fund, AMLKYC and CPOCTA compliance programsAddress licensing, registration, reporting, continuing education, training, written supervisory procedures, evidence of supervisory delegation, non-branch and OSJ remote office inspection and other SECFINRA regulatory requirementsWork with registered funds' transfer agent in addressing and resolving exceptions (e.g., SEC Rule 22c-1, new accounts, AMLKYC)Perform special projects and ad hoc assignments, as requiredQualifications:Bachelor's degree 7+ years executing compliance programs for a registered broker-dealerSeries 7, 24 and 99 licensesSuperior organizational skills; careful and thorough, with particular attention to detailExcellent computer skills and knowledge of MS Office, including Outlook, Word, Excel, and PowerPointExperience with FINRA Gateway system requiredExperience with AdMaster, MyComplianceOffice and Global Relay (or equivalent systems) a plus

Created: 2024-10-28