Director of Broker-Dealer Compliance
Investment Management
Dallas, TX (Relocation package available; hybrid – four days a week in-office)
Why Join Us:
- Opportunity to join an established and rapidly growing investment management business with a national footprint
- Play a critical leadership role, reporting directly to the Chief Compliance Officer
- Vibrant, modern offices and a positive and collaborative working culture
Responsibilities:
- Reporting to the Chief Compliance Officer, managing a team of two
- Providing direction to the firm’s compliance staff and working with legal counsel in engaging with regulatory agencies
- Assist with regulatory audits by FINRA, SEC, and state insurance and securities regulators
- Investigate complex issues, including internal investigations and customer complaints, as needed
- Provide direction to staff and work with legal counsel in engaging with regulators, regulatory issues, or
- compliance programs
- Assist with writing, revising and maintaining Compliance policies and procedures
- Oversee compliance training for team members and Member Firm staff, including continuing education and ongoing education programs
- Manage compliance personnel; responsible for the review of public communications
- Investigate complex compliance issues and provide thoughtful recommendations to the Chief Compliance Officer for resolution
- Develop and implement compliance programs, including policies and procedures, to minimize exposure to risk
- Identify and assist with development of automated processes and procedures to enhance broker/dealer
- efficiencies
- Manage compliance processes and programs to develop positive, value-added solutions for Member Firms; collaborate with Member Firms, educating, coaching, and advising on compliance issues and best practices
- Work collaboratively with other Compliance, Supervision, and Operation team members on effective interaction techniques with Member Firms to ensure a consistent message that fosters an effective compliance culture
- Monitor regulatory developments and changes in Federal and State securities laws and regulations; advise management of policy changes required because of evolving regulations and laws
- Assist the Chief Compliance Officer and President with responding to SEC, FINRA, and state regulatory exams and inquiries
- Review and/or draft responses to regulators/auditors
- Participate in the due diligence process, to ensure compliance issues are identified and addressed Broker/Dealer implements new products, platforms, and systems
Requirements:
- Essential Education: Bachelor’s degree
- You must have significant broker-dealer compliance experience
- FINRA Series 7 and 24 required; series 63, 65, 66 preferred
- If not currently residing in the Dallas TX area you will need to relocate (with support)
Application Process for Director of Broker-Dealer Compliance
Qualified professionals should submit their resume to Steve Harrison: steve@conselium.com
Published by Conselium Executive Search, the global leader in compliance search.
