Head of Compliance - Broker dealer/RIA

Ascendo Resources; Miami (FL); Presencial; USD 220 000 - 320 000; Tempo integral

Resumo da oferta

Ascendo Resources seeks an experienced Head of Compliance to lead the regulatory compliance program across its broker-dealer and investment adviser businesses in the United States. The role requires deep expertise in securities regulations and active FINRA licensing to guide senior management and business leaders.

The candidate will oversee policies, controls, examinations, and regulatory filings, while mentoring the Compliance team and coordinating with regulators to ensure ongoing adherence to

Qualificações

• 10+ years of progressive securities compliance experience, including significant broker-dealer/RIA exposure.
• Active FINRA Series 24 required; Series 7 and additional licenses preferred.
• Strong knowledge of FINRA and SEC rules and the Investment Advisers Act of 1940.

Responsabilidades

• Lead and oversee the firm's broker-dealer and investment adviser compliance programs.
• Serve as a senior compliance resource to executive leadership, registered representatives, and business teams.
• Maintain and enhance compliance policies, procedures, controls, and WSPs.
• Ensure compliance with FINRA, SEC, Investment Advisers Act, and securities regulatory requirements.
• Oversee supervisory activities, monitoring, surveillance, testing, and risk assessments.
• Provide guidance on Reg BI, suitability, conflicts of interest, communications, advertising, and sales practices.
• Oversee the review and resolution of customer complaints and regulatory inquiries.
• Monitor activity of registered representatives and financial advisors; ensure supervisory controls.
• Oversee electronic communications and communications-with-the-public review programs.
• Manage regulatory filings, registrations, annual certifications, and other compliance obligations.
• Lead and coordinate FINRA/SEC examinations, regulatory inquiries, internal audits, and independent reviews.
• Serve as primary regulator liaison and coordinate responses to regulatory requests.
• Identify compliance deficiencies and oversee remediation efforts.
• Monitor regulatory developments and update policies accordingly.
• Partner with Legal, AML, Operations, Risk, Technology, and senior leadership on regulatory matters.
• Provide compliance guidance on new products, services, and business initiatives.
• Develop and deliver compliance training for employees, advisors, and registered personnel.

Conhecimentos

Regulatory leadership

Securities regulations

Training & mentoring

Cross-functional collaboration

Risk assessments

Reg BI expertise

Policy development

Communication skills

Leadership experience

Regulatory exams coordination

Formação académica

Bachelor's degree in a related field

Advanced compliance designation preferred

Descrição da oferta de emprego

A financial services firm is seeking an experienced Head of Compliance to lead and oversee the firm's regulatory compliance program across its broker-dealer and investment advisory businesses.

This senior leadership position will be responsible for developing and maintaining the compliance framework, providing regulatory guidance to senior management and business leaders, and ensuring adherence to applicable SEC and FINRA rules and regulations.

The ideal candidate will have extensive experience overseeing compliance within a dual-registered or broker-dealer/RIA environment, strong knowledge of securities regulations, and an active FINRA Series 24 license.

Key Responsibilities

• Lead and oversee the firm's broker-dealer and investment adviser compliance programs.


• Serve as a senior compliance resource to executive leadership, registered representatives, financial advisors, and business teams.


• Maintain and enhance the firm's compliance policies, procedures, controls, and Written Supervisory Procedures (WSPs).


• Ensure compliance with applicable FINRA, SEC, Investment Advisers Act, and securities regulatory requirements.


• Oversee supervisory activities, compliance monitoring, surveillance, testing, and risk assessments.


• Provide guidance on Reg BI, suitability, conflicts of interest, communications, advertising, sales practices, and advisor supervision.


• Oversee the review and resolution of customer complaints, regulatory inquiries, and potential compliance violations.


• Monitor registered representative and financial advisor activity and ensure appropriate supervisory controls are maintained.


• Oversee electronic communications and communications-with-the-public review programs.


• Manage regulatory filings, registrations, annual certifications, and other compliance obligations.


• Lead and coordinate FINRA and SEC examinations, regulatory inquiries, internal audits, and independent compliance reviews.


• Serve as a primary point of contact with regulators and coordinate responses to regulatory requests.


• Identify compliance deficiencies and oversee corrective action and remediation efforts.


• Monitor regulatory developments and ensure policies, procedures, and business practices are updated accordingly.


• Partner with Legal, AML, Operations, Risk, Technology, and senior leadership on regulatory and compliance matters.


• Provide compliance guidance regarding new products, services, business initiatives, and operational changes.


• Develop and deliver compliance training for employees, advisors, and registered personnel.


• Lead, mentor, and develop members of the Compliance team.


• Promote a strong culture of compliance and ethical conduct throughout the organization.

Qualifications

• 10+ years of progressive securities compliance experience, including significant experience within a broker-dealer and/or Registered Investment Adviser.


• Prior experience in a senior compliance leadership capacity strongly preferred.


• Active FINRA Series 24 required.


• Series 7 and additional FINRA licenses preferred.


• Strong working knowledge of FINRA and SEC regulations and the Investment Advisers Act of 1940.


• Demonstrated experience with both broker-dealer and RIA compliance frameworks.


• Experience managing regulatory examinations and interacting directly with FINRA and SEC regulators.


• Strong knowledge of WSPs, supervisory systems, Reg BI, suitability, advertising/communications, conflicts of interest, and sales practice supervision.


• Experience developing and implementing compliance policies, risk assessments, testing programs, and internal controls.


• Strong understanding of financial advisor and registered representative supervision.


• Ability to interpret complex regulatory requirements and translate them into practical business guidance.


• Demonstrated ability to advise senior executives and business leaders on regulatory risk.


• Strong leadership, judgment, analytical, and problem-solving capabilities.


• Excellent written and verbal communication skills.


• Bachelor's degree required; advanced degree or professional compliance designation preferred.