Own and manage all compliance testing, office inspections, and best execution reviews, including SEC Rule 605/606 reporting
Prepare and submit regulatory filings including Forms U4, U5, Form BD, Form BR, CMA and MatCon
Serve as the primary point of contact during FINRA and SEC audits, cycle exams, and cause examinations
Manage FINRA Rule 4530 Reporting and respond to all regulatory inquiries in a timely and organized manner
Conduct internal and external communication, and marketing reviews to ensure adherence to FINRA standards
Support Margin and Options compliance and risk management
Support the NH Trust Custody program, including IRA-related compliance matters
Maintain the Compliance Manual and all relevant written procedures, keeping them current with regulatory changes
Administer the Identity Theft Prevention Program (ITPP) and manage Privacy (Reg S-P) and Information Security notice obligations

Experience with Broker-Dealer compliance, and prior interaction with FINRA and the SEC
FINRA registration required, including fingerprinting; Series 7 and Series 24 are required, Series 4 is strongly preferred
Strong organizational skills with the ability to manage a broad scope of responsibilities independently
Comfortable working across teams and communicating directly with state and federal regulators
Familiarity with trust custody compliance and IRA regulations is a plus.

Competitive salary
Attractive annual leave entitlement including: birthday, work anniversary
401(k) plan with employer match
Eligible for company-sponsored group health, dental, vision, and life/disability insurance
Work Flexibility Adoption. Flexi-work hour and hybrid or remote set-up
Aspire career alternatives through us. Our internal mobility program can offer employees a diverse scope.

Director, US Broker-Dealer Compliance

Key skills