Associate Director, Broker-Dealer Compliance (Fully Remote)

PINE Advisor Solutions; United States; Remote; USD 120,000 - 180,000; Full time

Benefits offered by this job

Health insurance: 100% employee prem.

Comprehensive medical, dental, and VIs

Unlimited vacation policy

Paid parental leave

Job summary

PINE Advisor Solutions is seeking a seasoned compliance professional to partner with the Broker-Dealer CCO in day-to-day operations and lead registration, licensing, and supervisory support for registered representatives.

Key responsibilities include managing the firm's supervisory system, FINRA advertising review, cycle examinations, and overseeing Form U4/U5 processes, with a focus on client and reps compliance matters.

Qualifications

• 5+ years broker-dealer compliance experience
• At least 2 years in FINRA Gateway/CRD
• Strong organization and communication skills
• Knowledge of SEC and FINRA registration rules

Responsibilities

• Manage supervisory system and core compliance calendar.
• Oversee FINRA advertising review, coordinate cycle examinations, and lead compliance projects.
• Oversee registered representative management including Forms U4/U5 and state registrations.
• Serve as primary day-to-day contact for clients and registered reps on compliance matters.

Skills

Broker-dealer compliance

Regulatory knowledge

Communication skills

Organizational skills

Tools

FINRA Gateway/CRD

Forms U4/U5

SEC/FINRA rules

Job description

• Partner with the Broker-Dealer CCO to manage day-to-day compliance operations for a limited purpose broker-dealer.
• Independently oversee registration, licensing, and supervisory support for registered representatives.
• Serve as the primary day-to-day contact for clients and registered reps on compliance matters.

Key Responsibilities:

• Manage the firm's supervisory system and core compliance calendar.
• Administer FINRA advertising review, coordinate cycle examinations, and lead compliance projects.
• Oversee registered representative management including Forms U4/U5 and state registrations.

Qualifications:

• 5+ years of broker-dealer compliance experience, with at least 2 years in FINRA Gateway/CRD.
• Working knowledge of SEC and FINRA registration, supervision, and communication rules.
• Strong organization, attention to detail, and excellent communication skills.
• Health insurance with 100% employee premium coverage.
• Comprehensive medical, dental, and vision plans.
• Unlimited vacation policy and paid parental leave.

PINE Advisor Solutions

PINE Advisor Solutions provides institutional-quality outsourced solutions for funds and investment managers. It is a fast-growing organization with a collaborative culture focused on client service.