Director, US Broker-Dealer Compliance

Key Responsibilities

• 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

Qualifications

• 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…