Senior Compliance Director – Financial Markets & Crypto

Chardan; New York (NY); On-site; USD 200,000 - 250,000; Full time

Job summary

Chardan is seeking an experienced compliance leader to serve as Director, Senior Compliance Officer and strategic partner to the Chief Compliance Officer. This role will oversee broker-dealer and investment adviser compliance programs, guiding multiple business lines and ensuring lawful, ethical operation.

You will lead regulatory guidance on BI, M, and private placements, develop supervisory procedures, and coordinate with Legal, Risk, and Trading teams.

Qualifications

• Bachelor's degree in a related field 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 an Investment Advisory, Broker Dealer, Regulatory, and/or Compliance Consulting firm.

Responsibilities

• Provide real-time regulatory guidance to Investment Banking and Capital Markets on Regulation BI, Regulation M, and private placements.
• Advise on information barriers, wall crossing procedures, and need-to-know policies across lines of business.
• Develop and maintain Written Supervisory Procedures for all firm activities.
• Collaborate to integrate Crypto and AI governance policies and documentation.
• Create and manage action plans for identified compliance deficiencies.
• Assist Senior Management on new laws/regulations and their impact.
• Monitor communications and conduct surveillance for regulatory concerns.
• Assist in FINRA filings and responses to 8210 requests; oversee onboarding trainings.

Skills

Regulatory compliance

Cross-functional leadership

Regulatory guidance

Written Supervisory Procedures

Surveillance & monitoring

FINRA qualifications

Risk management

Communication

Regulatory examinations

Microsoft Office

Education

Bachelor's degree in a related field

Series 7, 79, 63 and 24 certifications

Series 14 a plus

Tools

FINRA Gateway filings

Document management systems

RegTech tools

Job description

Chardan is seeking an experienced compliance leader to serve as Director, Senior Compliance Officer and strategic partner to the Chief Compliance Officer. This role will oversee broker-dealer and investment adviser compliance programs, guiding multiple business lines and ensuring lawful, ethical operation.

You will lead regulatory guidance on BI, M, and private placements, develop supervisory procedures, and coordinate with Legal, Risk, and Trading teams.