Compliance Director

Bachelor's degree in Finance, Business, Law, or related field; advanced degree or certifications preferred. Minimum 5 years of compliance experience in financial services, direct broker-dealer exposure preferred. Active FINRA Series 7 and Series 24 licenses required (obtain within 90 days if not current). Series 63 or equivalent state registrations strongly preferred. Solid understanding of SEC and FINRA rules (Reg BI, Rule 17a-3, 17a-4, antifraud provisions). Proven ability to manage compliance programs, conduct audits, and handle regulatory interactions. Strong analytical, problem-solving, and communication skills. Proficiency in compliance software and tools. High ethical standards. 5+ years in compliance, including supervisory/leadership roles in broker-dealer/transfer agency settings (preferred). Experience with digital asset regulations and blockchain compliance (preferred). Familiarity with SEC transfer agent regulations and systems (preferred).

Develop and maintain compliance policies and procedures for broker-dealer operations. Assist with broker-dealer license application materials (Form BD). Monitor and interpret SEC, FINRA, and other regulatory changes. Conduct internal audits and risk assessments. Oversee the Anti-Money Laundering (AML) program. Ensure compliance with transfer agent regulations (SEC Rules 17Ad-1 through 17Ad-20). Provide compliance training to employees. Manage regulatory examinations, inquiries, and filings (Form BD, Form TA-2, Form U4/U5). Integrate compliance into business strategies and product development. Investigate and resolve compliance incidents. Maintain compliance records and report to leadership. Stay updated on industry best practices and emerging risks in digital assets.