Broker Dealer Compliance Director

The Compliance Director will play a key leadership role in overseeing regulatory and operational compliance program. Partnering closely with the CCO and business leaders, this individual will ensure adherence to SEC, Client, and MSRB requirements while supporting business growth in a complex regulatory environment. Key Responsibilities Lead regulatory exams, inquiries, and interactions with the SEC, Client, and exchanges Oversee compliance with applicable broker-dealer regulations and securities laws Develop and maintain compliance policies, procedures, and supervisory frameworks Partner with business units to identify, assess, and remediate regulatory risks Provide guidance on regulatory matters, including new products and trading strategies Oversee trade reporting (TRACE, CAT/CAIS) and pre-trade compliance within the OMS Maintain supervisory programs in line with Client Rules 3110 and 3120 Lead issue management, including root cause analysis and corrective actions Support strategic and ad hoc compliance initiatives Education & Experience 10+ years of broker-dealer compliance experience Client Series 7 or 99 required

Created: 2026-04-02