Head of Compliance

Leeds Professional Resources; Miami (FL); On-site; USD 180,000 - 240,000; Full time

Job summary

Leeds Professional Resources seeks a Head of Compliance with Broker/Dealer experience to oversee the firm’s entire compliance program, ensuring adherence to federal and state regulations and internal policies.

Responsibilities include regulatory filings, policy development, monitoring trading activities, risk assessments, and AML program management. Strong SEC/FINRA knowledge and excellent communication are required to mentor staff and interface with regulators.

Qualifications

• Extensive knowledge of securities laws and FINRA/SEC.
• Experience in broker-dealer compliance.
• Ability to manage regulatory examinations and inquiries.
• Strong communication and leadership skills.
• Provide strategic regulatory guidance to senior management.

Responsibilities

• Regulatory liaison, filings, and responses to examinations by SEC/FINRA.
• Develop, implement, and maintain the firm’s compliance program and policies.
• Oversight of trading monitoring and internal audits for ongoing compliance.
• Manage AML program, annual training, and audits.
• Deliver compliance training and advise senior management on policy issues.

Skills

Broker-Dealer experience

Regulatory compliance

SEC/FINRA knowledge

Training & reporting

Regulatory guidance

Job description

We are seeking a Head of Compliance with Broker/Dealer experience to join our client's team! This role is responsible for overseeing the firm's entire compliance program to ensure adherence to all federal and state regulations and internal policies. Key duties include managing regulatory filings, developing and implementing policies, monitoring trading and other activities, and conducting risk assessments. The role requires extensive knowledge of securities laws and regulations from bodies like the SEC and FINRA, strong communication skills for training and reporting, and the ability to manage relationships with regulatory agencies.

Core responsibilities

Regulatory liaison and filings

• Manage all interactions with regulatory agencies, prepare and submit required filings, and coordinate responses to examinations and inquiries from bodies like the SEC and FINRA.

Policy and program development

• Establish, implement, and maintain the firm's compliance program, including written supervisory procedures, policies, and best practices for areas such as client onboarding, trading, and marketing materials.

Monitoring and testing

• Conduct ongoing monitoring of trading activities, risk assessments, and internal audits to ensure ongoing compliance. This includes overseeing transaction monitoring and automated surveillance programs.

Anti-Money Laundering (AML)

• Manage all aspects of the AML program, including maintaining policies, conducting annual training, and coordinating independent audits.

Training and education

• Develop and deliver compliance training to employees and management, ensuring they understand relevant laws, regulations, and firm policies.
• Provide guidance and advice to senior management on compliance matters, assist in mitigating risks, and respond to policy violations. This also includes managing personal trading compliance and outside business activities.
• Deep knowledge of securities regulations (e.g., SEC, FINRA).
• Experience in broker-dealer compliance.
• Strong analytical, oral, and written communication skills.
• Ability to provide strategic guidance on complex regulatory issues.