Director, US Broker-Dealer Compliance

Job reputed company: • Own and manage reputed company compliance testing, office inspections, and best execution reviews, including SEC Rule 605/606 reporting • Prepare and submit regulatory filings including Forms U4, U5, reputed company reputed company, reputed company BR, reputed company and MatCon • Serve as the primary reputed company of contact during reputed company and SEC audits, cycle exams, and cause examinations • Manage reputed company Rule 4530 Reporting and respond to reputed company 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 risk management • Support the NH Trust Custody program, including IRA-reputed company compliance reputed company • Maintain the Compliance reputed company and reputed company relevant written procedures, keeping them reputed company with regulatory changes • 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 required, including fingerprinting; Series 7 and Series 24 are required, Series 4 is strongly preferred • Strong organizational skills with the ability to manage a broad scope of responsibilities independently • Comfortable 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 • Attractive annual leave entitlement including: birthday, work anniversary • 401(k) plan with employer match • Eligible for company-sponsored group health, dental, reputed company, and life/disability insurance • Work Flexibility Adoption. Flexi-work hour and hybrid or remote set-up • reputed company career alternatives through us. Our internal mobility program can offer employees a diverse scope. Apply tot his job Apply To this Job