Head of Compliance

Head of Compliance About the Company A pioneering healthcare solutions provider for the agriculture industry. Industry Hospital & Health Care Type Privately Held Founded 1957 Employees 201-500 Specialties medical health plan health & wellness cobra administration care management field services bilingual field services health centers rural health centers Mexico health network Mexico clinic network online tools and resources health & wellness centers About the Role We are seeking a driven and passionate Head of Compliance to be an integral part of our dedicated team. In this essential role, you will lead the daily operations of our broker-dealer/investment advisor business, manage client accounts and investment administration, and nurture broker and banking relationships. Your expertise will be crucial in refining and maintaining our written supervisory procedures while developing effective training programs, licensing protocols, and internal controls, all while ensuring compliance with various regulatory requirements. In this position, you will also oversee compliance management and provide comprehensive supervision for registered representatives and investment advisers. You will conduct regulatory examinations to ensure our practices are in line with applicable laws and regulations. We value candidates who hold a BA/BS degree and have at least 10 years of relevant compliance experience, ideally in a regional or national retail brokerage firm. Applicants should be well-versed in the SEC and FINRA landscape, possess a clean U-4, and hold current Series 7, 24, 53, 99, and 66 licenses. A strong understanding of both commission and advisory businesses, knowledge of trading, and familiarity with OATS/CATS and TRACE reporting are essential for success in this role. High standards of integrity, ethical judgment, and excellent communication skills are paramount. Additionally, you will be responsible for managing administrative functions, including updating our business continuity and cybersecurity plans, and serving as the Corporate Secretary for our financial services division. Travel Percent Less than 10% Functions Finance

Created: 2026-03-11