A large financial institution is seeking a Director to join its regulatory compliance advisory function. In this role, you will provide guidance on regulatory expectations related to broker‑dealer activities and other financial‑services operations, with a particular focus on SEC and FINRA requirements. You will partner with business, control, and support teams to strengthen the firm’s compliance framework, assess regulatory obligations, and support oversight of new initiatives and activities.
The position involves advising on regulatory matters, supporting responses to examinations and inquiries, and contributing to the ongoing enhancement of the firm’s compliance program.
Key Responsibilities
1. Provide regulatory and compliance guidance across various business lines and advisory activities.
2. Support business and operational teams in addressing questions related to SEC, FINRA, and other regulatory requirements.
3. Coordinate regulatory examinations and assist in preparing responses.
4. Maintain and enhance compliance policies, procedures, and supervisory frameworks.
5. Communicate emerging regulatory developments to internal stakeholders.
6. Assess business‑unit risks and evaluate the effectiveness of controls through monitoring and oversight activities.
7. Contribute to the design and maintenance of compliance systems and tools.
8. Advise internal stakeholders-including front‑office and support functions-on regulatory expectations and internal policies.
9. Review new products and initiatives to identify and address potential compliance considerations.
10. Support internal reviews, certifications, and senior‑level reporting.
11. Assist senior compliance leadership in overseeing the broader compliance program.
Candidate Qualifications
Education
12. Bachelor’s degree required
13. Series 7,, and required
14. JD preferred
Experience
15. Experience leading or managing a small team
The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.
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