Director of Compliance

Accountabilities: Support the development, implementation, and continuous improvement of the firm’s compliance program.

Apply practical knowledge of FINRA, SEC, and securities regulations to provide effective compliance oversight.

Partner with business teams to understand operational workflows, evaluate controls, and implement compliance process improvements.

Draft, update, and maintain compliance policies, supervisory procedures, and regulatory documentation.

Review advertising materials, marketing communications, and electronic communications to ensure regulatory compliance.

Support regulatory examinations, inquiries, and information requests by coordinating documentation, data gathering, and responses.

Assist with preparation and submission of regulatory filings, reports, and compliance documentation.

Support branch inspections, supervisory reviews, and remediation activities by tracking findings and collaborating with business leaders.

Contribute to new product launches and ongoing product governance processes from a compliance perspective.

Build strong relationships across departments and promote a culture of accountability, integrity, and regulatory awareness.

Requirements:

10+ years of experience managing compliance functions within FINRA, SEC, and OCC regulatory environments.

Strong background in broker-dealer, clearing firm, or financial services compliance operations.

Deep knowledge of U.S. securities regulations, including FINRA and SEC rules, registration requirements, and licensing obligations.

Proven ability to independently execute compliance initiatives and deliver practical solutions beyond advisory recommendations.

Strong written communication skills with experience creating policies, procedures, and regulatory documentation.

Ability to manage multiple priorities effectively in a fast-paced, global, and evolving regulatory environment.

Experience using compliance software, monitoring tools, and related technology platforms.

High ethical standards with a strong commitment to confidentiality and professional integrity.

Bachelor’s degree in Finance, Business, Law, or a related field.

Required FINRA licenses: Series 7 and Series 24; additional licenses or professional designations are considered an advantage.

Benefits:

Fully remote opportunity with flexibility to work across Canada.

Competitive salary package and stock options.

Comprehensive health benefits.

Home office setup support with a one-time USD $500 allowance.

Monthly remote work stipend of USD $150 through a company payment card.

Opportunity to contribute to innovative financial technology solutions.

Collaborative global environment with experienced professionals across multiple regions.

Career growth opportunities within a rapidly expanding organization.

How Jobgether works: We use an AI-powered matching process to ensure your application is reviewed quickly, objectively, and fairly against the role's core requirements. Our system identifies the top-fitting candidates, and this shortlist is then shared directly with the hiring company. The final decision and next steps (interviews, assessments) are managed by their internal team. We appreciate your interest and wish you the best!  Why Apply Through Jobgether? 

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