Director of Compliance
New
J
JobgetherFinancial Technology
CanadaFull-TimeDirector
SalaryCompetitive salary package and stock options.
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Job Details
- Experience
- 10+ years
- Required Skills
- ComplianceRisk Management
Requirements
- 10+ years of experience managing compliance functions within FINRA, SEC, and OCC regulatory environments.
- Strong background in broker-dealer, clearing firm, or financial services compliance operations.
- Deep knowledge of U.S. securities regulations, including FINRA and SEC rules, registration requirements, and licensing obligations.
- Proven ability to independently execute compliance initiatives and deliver practical solutions beyond advisory recommendations.
- Strong written communication skills with experience creating policies, procedures, and regulatory documentation.
- Ability to manage multiple priorities effectively in a fast-paced, global, and evolving regulatory environment.
- Experience using compliance software, monitoring tools, and related technology platforms.
- High ethical standards with a strong commitment to confidentiality and professional integrity.
- Bachelor’s degree in Finance, Business, Law, or a related field.
- Required FINRA licenses: Series 7 and Series 24.
Responsibilities
- Support the development, implementation, and continuous improvement of the firm’s compliance program.
- Apply practical knowledge of FINRA, SEC, and securities regulations to provide effective compliance oversight.
- Partner with business teams to understand operational workflows, evaluate controls, and implement compliance process improvements.
- Draft, update, and maintain compliance policies, supervisory procedures, and regulatory documentation.
- Review advertising materials, marketing communications, and electronic communications to ensure regulatory compliance.
- Support regulatory examinations, inquiries, and information requests by coordinating documentation, data gathering, and responses.
- Assist with preparation and submission of regulatory filings, reports, and compliance documentation.
- Support branch inspections, supervisory reviews, and remediation activities by tracking findings and collaborating with business leaders.
- Contribute to new product launches and ongoing product governance processes from a compliance perspective.
- Build strong relationships across departments and promote a culture of accountability, integrity, and regulatory awareness.
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