Director of Broker Dealer Compliance

Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance!

Responsibilities:

• Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and private/non-listed investment products
• Provide technical guidance and expertise, promote examination preparedness and remain up-to-date on regulatory developments and industry best practices
• Support Chief Compliance Officers in liaising with regulatory authorities, responding to inquiries and coordinating regulatory examinations
• Help maintain and implement the firm’s adviser, fund, AML/KYC and CPO/CTA compliance programs
• Address licensing, registration, reporting, continuing education, training, written supervisory procedures, evidence of supervisory delegation, non-branch and OSJ remote office inspection and other SEC/FINRA regulatory requirements
• Work with registered funds’ transfer agent in addressing and resolving exceptions (e.g., SEC Rule 22c-1, new accounts, AML/KYC)
• Perform special projects and ad hoc assignments, as required

Qualifications:

• Bachelor’s degree
• 7+ years executing compliance programs for a registered broker-dealer
• Series 7, 24 and 99 licenses
• Superior organizational skills; careful and thorough, with particular attention to detail
• Excellent computer skills and knowledge of MS Office, including Outlook, Word, Excel, and PowerPoint
• Experience with FINRA Gateway system required
• Experience with AdMaster, MyComplianceOffice and Global Relay (or equivalent systems) a plus