Job description
**Job Title: Director of Compliance**
The Director will be responsible for managing and implementing the compliance programs for the firm’s broker-dealer and investment adviser sectors, offering regulatory guidance across different business areas. This role includes taking charge of regulatory audits, formulating supervisory policies, and advising top management on the implications of new legislation and compliance matters. Applicants should possess a bachelor’s degree along with a minimum of 10 years of compliance experience in the financial services sector. Essential certifications required are Series 7, 79, 63, and 24, alongside a robust comprehension of U.S. financial regulations.
