Connecting linkedin

W1siziisimnvbxbpbgvkx3rozw1lx2fzc2v0cy9oyw1sew4td2lsbglhbxmvanbnl2jhbm5lci1kzwzhdwx0lwpvyi5qcgcixv0

Job

Regulatory Surveillance Director

  • Location

    REMOTE

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    $160,000 - $180,000

  • Contact:

    Bennett Congdon

  • Contact email:

    b.congdon@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    2 months ago

  • Expiry date:

    2023-04-13

  • Startdate:

    ASAP

Continuing our partnership with a leading crypto fintech, we are looking for someone with extensive knowledge of the broker-dealer space to join and support our client's enhancement and implementation of their compliance program. This is a unique role as you will be responsible for multiple areas, including surveillance and monitoring activities. Additional responsibilities include compliance training, drafting regulatory filings, written communications with regulatory agencies, and assisting with vendor due diligence.

 

What You'll be doing

  • Manage broker-dealer Rule 4530 filings
  • Determine employee candidacy for FINRA registration/licensing
  • Review and approve requests and outside Business Activity records
  • Assist with regulatory inquiry and examination response.
  • Collaborate cross-functionally with other compliance and legal teams

 

Requirements

  • BA/BS, or similar degree
  • 8+ years of experience with a registered US broker-dealer or regulator
  • Excellent written and verbal communication skills
  • Attention to detail
  • Excellent analytical skills
  • Strong project management skills
  • Capable of multi-tasking and managing competing priorities

 

If you, or someone you know, would be a good fit for this role please apply directly or reach out to b.congdon@hamlynwilliams.com for more information!

 

#LI-BC3 | #LI-REMOTE