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Job

Director of Compliance

A large Financial Services client of ours in Texas is looking for a Director to support its Retail Branch Network and its Independent Branch Services business lines. This role will provide regulatory guidance on items such as changes to regulatory developments, products, and mitigation of issues as they come about related to retail investors. The role will report in to a Managing Director, also based in Texas.

Responsibilities:

  • Perform regulatory analysis of developments affecting retail product offerings across the enterprise.
  • Will be in charge of coordinating with the Corporate Compliance group relating to various reporting responsibilities.
  • In charge of coordinating with the Global Compliance Testing Program, including reviewing all test plans.
  • Responsible for assisting in developing and maintaining policies and procedures.
  • Will participate in the annual Compliance Risk Assessment process in accordance with corporate standards.
     

Qualifications

  • Bachelor’s degree 
  • 15+ years industry experience at a broker-dealer or investment adviser
  • 10+ years in a compliance, control, or risk management role
  • High-level knowledge of and hands-on experience with SEC and FINRA Rules
  • High-level knowledge of recent regulatory developments, including familiarity with initiatives related to senior and vulnerable investors
  • Strong project management skills and the ability to organize & process large amounts of data/information
  • Demonstrated experience working independently and prioritizing multiple projects based on regulatory risk and business needs;
  • FINRA Series 7, 63, and 24 licenses (preferred)

 

If interested, please get in touch and apply here or send resumes to r.corbet@hamlynwilliams.com!