Senior Manager of Compliance
New
A
AlpacaFinancial Services
Remote - AmericasFull-TimeManager
SalaryCompetitive Salary & Stock Options
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Job Details
- Experience
- At least 7 years of experience
- Required Skills
- Compliance
Requirements
- At least 7 years of experience managing compliance matters within FINRA, SEC, and OCC jurisdictions.
- Deep knowledge of U.S. securities regulations, including FINRA/SEC rules, and registration/licensing obligations.
- Strong written communication skills for drafting regulatory documentation and policies.
- Proven ability to work independently and produce actionable compliance work.
- Ability to operate effectively in a fast-paced, global environment with evolving regulatory requirements.
- Proficiency in using compliance software and tools.
- Bachelor's degree in Finance, Business, Law, or a related field.
- Required FINRA licenses: Series 7, 24.
Responsibilities
- Apply practical knowledge of FINRA rules and regulations to ensure compliance oversight across the firm.
- Partner with business units to understand workflows, monitor controls, and implement compliance process improvements.
- Draft, update, and maintain compliance policies and supervisory procedures.
- Review advertising, marketing, and electronic communications for regulatory compliance.
- Support regulatory examinations, inquiries, and requests, including gathering data, preparing documentation, and coordinating responses.
- Assist in the preparation and submission of required regulatory filings and reports.
- Assist with branch inspections and supervisory reviews, track findings, and follow up with business leads.
- Experience with new product launches and ongoing product governance.
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