Head of Compliance & Regulatory Strategy

Leeds Professional Resources; Miami (FL); On-site; USD 150,000 - 200,000; Full time

Job summary

Leeds Professional Resources is seeking a Head of Compliance with Broker/Dealer experience to join our client’s team in Florida. This role oversees the firm’s entire compliance program, ensuring adherence to federal and state regulations and internal policies.

You will manage regulatory filings, develop policies, monitor trading activities, and conduct risk assessments, while guiding management on regulatory matters and maintaining effective relationships with agencies such as the SEC and FINRA.

Qualifications

• Extensive 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.

Responsibilities

• Oversee regulatory filings and coordinate examinations with bodies like the SEC and FINRA.
• Establish, implement, and maintain the firm's compliance program, including policies and procedures for onboarding, trading, and marketing materials.
• Monitor trading activities, risk assessments, and internal audits; oversee transaction monitoring and surveillance programs.
• Manage AML program, including policies, training, and independent audits.
• Develop and deliver compliance training to employees and management; provide guidance to senior management on regulatory matters.

Skills

Regulatory expertise

Analytical skills

Oral and written communication

Strategic regulatory guidance

Job description

Leeds Professional Resources is seeking a Head of Compliance with Broker/Dealer experience to join our client’s team in Florida. This role oversees the firm’s entire compliance program, ensuring adherence to federal and state regulations and internal policies.

You will manage regulatory filings, develop policies, monitor trading activities, and conduct risk assessments, while guiding management on regulatory matters and maintaining effective relationships with agencies such as the SEC and FINRA.