Director- Head of Regulatory Compliance recruitment
The Compliance team is responsible for ensuring the compliance program is functioning effectively. The Head of Regulatory Compliance department will be responsible for the management of regulatory exams and inquiries and maintaining an updated regulatory rules matrix.
Duties Include
• Manage exams and regulatory inquiries
• Coordinate closely on regulatory issues with other Firm Regulatory Compliance unit; and develop strong working relationships and communicate risk and actions.
• Monitor regulatory and legislative developments; prepare briefing memos propose and execute solutions to help ensure Firm compliance with new requirements.
• Assist in updating and drafting compliance policies and procedures and the creation and delivery of training.
REQUIRED SKILLS:
• BA/BS Degree is required
• 7 + years of experience in financial industry.
• 5 + years of Regulatory experience required.
• 5 + years compliance experience required.
• 3 + years of project management skills and experience are required.
• Series 8, 9, 10 or 24 license.