Senior Director, Compliance & Regulatory Strategy

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

Job summary

Chardan Capital Markets, LLC. seeks an experienced Compliance Director/Senior Compliance Officer to partner with the Chief Compliance Officer and oversee broker-dealer and investment adviser compliance programs.

The role spans Investment Banking, Capital Markets, Research, Sales & Trading, and technology governance for crypto and AI. You will guide regulatory strategy, develop supervisory procedures, and lead examinations while advising senior management on legal changes and risk controls.

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 across investment advisory, broker-dealer, regulatory or consulting environments.
• Strong organizational skills and attention to detail; capable of leading cross-functional initiatives.
• Proven ability to advise senior leaders and implement supervisory procedures and surveillance frameworks.

Responsibilities

• Provide real-time regulatory guidance on BI, M&A, and private placements to business lines.
• Develop and maintain Written Supervisory Procedures for all firm activities.
• Collaborate on crypto and AI governance policies and documentation.
• Lead regulatory examinations, audits, and remediation activities with senior management.
• Monitor communications, conduct surveillance of trading activity, and manage risk assessments.
• Prepare FINRA filings (Form BD, U4/U5) and keep watchlists updated.
• Deliver onboarding and annual compliance training across equity research and trading teams.
• Advise on new laws/regulations and improve unit procedures accordingly.

Skills

Regulatory expertise

Stakeholder influence

Communication skills

Cross-functional leadership

Attention to detail

Regulatory strategy

Adaptability

Project management

Education

Bachelor's degree

Series 7/79/63/24

Tools

MS Office

Excel

PowerPoint

Job description

Chardan Capital Markets, LLC. seeks an experienced Compliance Director/Senior Compliance Officer to partner with the Chief Compliance Officer and oversee broker-dealer and investment adviser compliance programs.

The role spans Investment Banking, Capital Markets, Research, Sales & Trading, and technology governance for crypto and AI. You will guide regulatory strategy, develop supervisory procedures, and lead examinations while advising senior management on legal changes and risk controls.