Director of Compliance & Regulatory Strategy

CHARDAN CAPITAL MARKETS LLC; New York (NY); On-site; USD 200,000 - 250,000; Full time

Job summary

Chardan is an independent global investment bank based in New York City seeking an experienced compliance professional to serve as Director, Senior Compliance Officer and strategic partner to the Chief Compliance Officer.

You will help oversee the Firm's broker-dealer and investment adviser compliance programs and provide regulatory guidance across Investment Banking, Capital Markets, Research, Sales & Trading, and other initiatives.

Qualifications

• Bachelor's degree required with fluent knowledge of US financial regulation framework, risk management and industry principles.
• Series 7, 79, 63 and 24 certifications; Series 14 a plus.
• 10+ years of Compliance experience within Investment Advisory, Broker Dealer, Regulatory, and/or Compliance Consulting firms.

Responsibilities

• Provide real-time advice on Regulation BI, Regulation M, and other regulatory requirements for offerings.
• Advise on information barriers, wall crossing, and MNPI policies across business lines.
• Develop and maintain Written Supervisory Procedures relating to firm activities.
• Collaborate on Crypto and AI governance to ensure regulatory compliance.
• Create action plans for identified deficiencies and advise senior management on new laws.
• Lead cross-functional compliance initiatives and regulatory examinations.

Skills

Regulatory leadership

Strong communicator

Attention to detail

Cross-functional collaboration

Independent worker

Education

Bachelor's degree in related field

Series 7, 79, 63, 24 certifications

Tools

Microsoft Office Suite

Job description

Chardan is an independent global investment bank based in New York City seeking an experienced compliance professional to serve as Director, Senior Compliance Officer and strategic partner to the Chief Compliance Officer.

You will help oversee the Firm's broker-dealer and investment adviser compliance programs and provide regulatory guidance across Investment Banking, Capital Markets, Research, Sales & Trading, and other initiatives.