Compliance Officer, Broker Dealer

Director, Compliance

As a key member of the Compliance team, the Compliance Director will take a leading role across all aspects of the firm's operational and regulatory compliance programs. This individual will also contribute to special projects as assigned and support broader business needs as they arise.

The Chief Compliance Officer is eager to bring on a driven, proactive professional with strong command of compliance programs. The Compliance team is committed to addressing the next generation of compliance risk within a complex and evolving regulatory landscape. This role requires deep expertise in securities regulation, particularly SEC and Client rules, and will collaborate closely with compliance colleagues across a broad range of broker-dealer business lines.

Job Responsibilities:

In this role, you will help lead a firm-wide compliance program, including:

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