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.
Chardan Capital Markets LLC provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.
