Illinois Licensed Compliance Director

Job Summary

A company is looking for a Director of Compliance - Broker Dealer.

Key Responsibilities:

• Drive strategic compliance initiatives in alignment with organizational objectives
• Oversee day-to-day compliance activities, including audits and reviews
• Monitor and analyze new legislation and regulatory rules impacting the securities industry

Qualifications:

• Bachelor's degree in Finance, Business, Law, or a related field
• Minimum of 7 years of Broker Dealer and SEC Registered Investment Adviser experience
• Extensive experience in policy and procedure development for BD and IA compliance
• Strong working knowledge of FINRA, SEC, and other regulatory frameworks
• Proven leadership and project management skills