Description
The Compliance Manager oversees broker-dealer and bank compliance activities, including regulatory assessments, outside-business-activity reviews, securities-transaction oversight, private-placement approvals, customer complaints, G&E tracking, and Rep registrations. The role also reviews marketing materials, monitors global regulatory developments, develops compliance policies and procedures, supports compliance testing and monitoring, and coordinates remediation of compliance risks. The position requires an individual-contributor background, a bachelor’s degree or MBA, FINRA Series 7 and 24 licenses, strong stakeholder and communication skills, knowledge of U.S., European, and other global regulations, and experience using AI-enabled tools to improve compliance processes.
