Associate Director, Broker-Dealer Compliance
Benefits
Unlimited PTO
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Position Overview:
- Partner with the Broker-Dealer CCO to manage day-to-day compliance operations for a limited purpose broker-dealer.
- Independently oversee registration, licensing, and supervisory support for registered representatives.
- Serve as the primary day-to-day contact for clients and registered reps on compliance matters.
Key Responsibilities:
- Manage the firm's supervisory system and core compliance calendar.
- Administer FINRA advertising review, coordinate cycle examinations, and lead compliance projects.
- Oversee registered representative management including Forms U4/U5 and state registrations.
Qualifications:
- 5+ years of broker-dealer compliance experience, with at least 2 years in FINRA Gateway/CRD.
- Working knowledge of SEC and FINRA registration, supervision, and communication rules.
- Strong organization, attention to detail, and excellent communication skills.
Benefits:
- Health insurance with 100% employee premium coverage.
- Comprehensive medical, dental, and vision plans.
- Unlimited vacation policy and paid parental leave.
PINE Advisor Solutions
PINE Advisor Solutions provides institutional-quality outsourced solutions for funds and investment managers. It is a fast-growing organization with a collaborative culture focused on client service.