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Regulatory Surveillance Director

  • Location


  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    $160,000 - $180,000

  • Contact:

    Bennett Congdon

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    2 months ago

  • Expiry date:


  • Startdate:


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



  • 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 for more information!