Chief Compliance & Regulatory Strategy Lead

Revolt Financial; United States; On-site; USD 120,000 - 180,000; Full time

Benefits offered by this job

Competitive compensation and benefits

Commitment to continuing education and professional growth

Inclusive, collaborative workplace culture

Job summary

A growing financial services firm is seeking a Head of Compliance to enhance the compliance program and oversee regulatory activities. This role requires at least 5 years of leadership experience in a regulated environment and strong knowledge of compliance frameworks. The ideal candidate will manage interactions with regulators and ensure adherence to laws and policies. The role offers competitive compensation and a commitment to professional growth.

Qualifications

• 5+ years of compliance leadership experience within a regulated financial services environment.
• Strong knowledge of broker-dealer or investment compliance and supervisory frameworks.
• Experience interacting directly with regulators and managing regulatory examinations.

Responsibilities

• Own and enhance the firm’s supervisory procedures, control framework, and risk assessment processes.
• Act as the firm’s primary regulatory contact and manage required filings.
• Lead the review and approval of marketing and client-facing materials for compliance.

Skills

Compliance leadership

Regulatory expertise

Excellent communication skills

Proactive leadership style

Education

Series 24

Series 7

Series 14

Job description

A growing financial services firm is seeking a Head of Compliance to enhance the compliance program and oversee regulatory activities. This role requires at least 5 years of leadership experience in a regulated environment and strong knowledge of compliance frameworks. The ideal candidate will manage interactions with regulators and ensure adherence to laws and policies. The role offers competitive compensation and a commitment to professional growth.