Director of Compliance

Your Role:

• Supports all aspects of the Firm’s compliance program.
• Works closely across business lines and functions to ensure alignment and effective execution of compliance initiatives.
• Proactive, highly organized, and able to manage multiple solutions and maintain strong stakeholder relationships.

Things You Get To Do:

• Review advertising, marketing, and electronic communications for regulatory compliance.
• Support regulatory examinations, inquiries, and requests, including gathering data, preparing documentation, and coordinating responses.
• Assist in the preparation and submission of required regulatory filings and reports.

Who You Are (Must-Haves):

• Deep knowledge of U.S. securities regulations, including FINRA/SEC rules, and registration/licensing obligations.
• Strong written communication skills for drafting regulatory documentation and policies.
• Proven ability to work independently and produce actionable compliance work, not just advisory guidance.

How We Take Care of You:

• Competitive Salary & Stock Options
• Health Benefits
• New Hire Home-Office Setup: One-time USD $500