New York, New York, 10007
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.
STEMHUNTER is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex (including pregnancy, sexual orientation, gender identity, and gender expression), national origin, age, disability, genetic information, veteran status, or any other status protected by applicable federal, state, or local law. We comply with all applicable equal employment opportunity and affirmative action regulations.
