Compliance Director- Broker Dealer

A well respected Investment Management firm seeks a Director, Regulatory Compliance - Broker Dealer with experience executing a compliance program for a registered broker-dealer with knowledge across registered advisers, registered funds, a limited purpose broker-dealer and private/non-listed investment products.

Responsibilities:

• Maintain and implement compliance program for a limited purpose broker-dealer which serves as the distributor of registered funds and private/non-listed investment products
• Address licensing & registration, reporting, continuing education, training, written supervisory procedures, evidence of supervisory delegation, non-branch and OSJ inspections and other SEC/FINRA regulatory requirements
• Provide guidance on and remain up-to-date on regulatory developments and industry best practices
• Support CCO in liaising with regulatory authorities, responding to inquiries and coordinating regulatory examinations
• Help maintain and implement the firm’s adviser and fund AML/KYC compliance programs
• Work with registered funds’ transfer agent to resolve and address exceptions (e.g., SEC Rule 22c-1, new accounts, AML/KYC)

The ideal candidate has 8 - 12 years exp. executing compliance programs at a registered broker-dealer or investment adviser, & holds Series 7 license (willing to obtain the Series 24 and 99 within six months of hire)