Job Description

*Client is alternative asset management firm

Key Responsibilities: This role focuses on ensuring continuous regulatory compliance and operational integrity, with responsibilities including:

• Drafting and updating comprehensive compliance policies and procedural documents in line with evolving FINRA regulations, ensuring clarity, consistency, and adherence to best practices.
• Supporting the execution of the broker-dealer's annual 3120 compliance testing program, including designing test plans, conducting reviews, and analyzing results to identify areas for improvement.
• Overseeing regulatory obligations linked to the firm's NSCC membership, ensuring timely and accurate filings, and managing any associated audits or regulatory inquiries.
• Managing additional compliance-related functions within the broker-dealer structure, such as monitoring trading activities, reviewing marketing materials for regulatory compliance, and providing guidance on new regulatory developments.
• Collaborating closely with internal stakeholders, including legal, operations, and risk management teams, to ensure a cohesive approach to compliance and risk mitigation.
• Assisting in the development and delivery of compliance training programs to enhance awareness and understanding of regulatory requirements across the firm.

Required Qualifications:

• Minimum of 6 years of direct experience in compliance for FINRA-regulated broker/dealers, ideally within an institutional environment, with a demonstrated track record of managing complex compliance programs.
• Solid grasp of securities regulations, legal frameworks, and FINRA guidelines, with the ability to interpret and apply regulatory requirements to business operations effectively.
• Exceptional attention to detail with strong organizational and prioritization skills, capable of managing multiple projects and deadlines simultaneously.
• Proven ability to collaborate effectively within a team-oriented setting, with excellent communication skills to articulate compliance issues and solutions clearly.
• Active securities licenses including SIE, Series 7TO, and Series 24, with a strong commitment to maintaining continuing education requirements.
• Familiarity with ComplySci compliance software is advantageous but not mandatory, along with proficiency in using other compliance management tools and systems.

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