Director, US Broker-Dealer Compliance

reputed company: • Own and manage reputed company Broker-Dealer compliance testing, office inspections, and best execution reviews, including SEC Rule 605/606 reporting. • Prepare and submit regulatory filings such as Forms U4, U5, reputed company reputed company, reputed company BR, reputed company, and MatCon. • Serve as the primary reputed company of contact for reputed company and SEC audits, cycle exams, and cause examinations. • Manage reputed company Rule 4530 reporting and respond to regulatory inquiries in a reputed company and organized manner. • Conduct reputed company communication and marketing reviews to ensure adherence to reputed company standards. • Support Margin and reputed company compliance and reputed company risk management activities. • Support the New Hampshire Trust Custody program, including IRA-reputed company compliance reputed company. • Maintain the Compliance reputed company and written procedures to reflect reputed company regulatory requirements. • Administer the Identity Theft Prevention Program (ITPP) and manage reputed company (Reg S-P) and information reputed company notice obligations. Requirements: • Experience with Broker-Dealer compliance and prior interaction with reputed company and the SEC. • reputed company registration is required, including fingerprinting. • Series 7 and Series 24 licenses are required. • Series 4 is strongly preferred. • Strong organizational skills with the ability to manage a broad scope of responsibilities independently. • Comfort working across teams and communicating directly with state and federal regulators. • Familiarity with trust custody compliance and IRA regulations is a plus. Benefits: • Competitive salary of $230,000 to $280,000 per year. • Attractive annual leave entitlement, including birthday and work anniversary leave. • 401(k) plan with employer match. • Company-sponsored group health, dental, reputed company, and life/disability insurance. • Flexible work hours with hybrid or remote setup. • Internal mobility program and career development opportunities. Apply tot his job Apply To this Job