Director - Broker Dealer Compliance Advisory

Join a fast-growing, diversified global financial services platform as they look to bring on a new Director in the broker-dealer compliance advisory space

Client Details

Client is a rapidly growing global financial services provided/platform that operates across a wide array of markets and sectors.

Description

• Deliver advisory support on compliance matters to teams within the broker-dealer division.

• Respond to, or support responses for, regulatory audits and information requests related to broker-dealer operations.

• Draft or contribute to internal guidance documents addressing regulatory aspects of proposed business changes.

• Maintain and strengthen professional relationships with broker-dealer line managers.

• Partner with teams to ensure timely completion of key compliance deliverables across the Americas region.

• Collaborate with departments such as IT, Surveillance, and Operations to enhance systems and tools for business oversight.

• Act as a knowledgeable resource on products, regulatory disclosures, and broker-dealer workflows through continual subject matter expertise.

• Advise trading and sales teams on nuanced regulatory and compliance matters.

• Assist with drafting, updating, and implementing core compliance documentation, including supervisory procedures and manuals.

• Provide advisory input regarding trade surveillance activities specific to broker-dealer operations.

• Support compliance initiatives linked to regulatory filings and reporting processes.

• Execute assigned compliance reviews and testing activities.

• Coordinate responses and advisory support for issues related to registrations, employee trading, and specific business unit concerns.

• Ensure the organization meets obligations under rules issued by the SEC, FINRA, exchanges, and other regulatory entities.

• Operate in accordance with the company's risk management framework, observing all relevant policies and thresholds.

• Exhibit exemplary conduct, consistently upholding the company's core values and ethical standards.

• Adhere to the firm's Code of Conduct, remaining fully informed of internal policies relevant to your responsibilities.

• Report policy violations to the appropriate compliance team or supervisor.

• Promptly escalate any identified risks or incidents.

• Contribute to ongoing risk assessment and mitigation processes as necessary.

Profile

• Bring over 15 years of specialized experience offering regulatory and compliance guidance within the U.S. securities industry.

• Possess deep expertise in broker-dealer operations and their associated regulatory obligations.

• Well-versed in interpreting and applying securities laws and regulatory frameworks, including those established by the SEC, FINRA, national exchanges, the Options Clearing Corporation, and other SROs.

• Maintain comprehensive knowledge of complex regulatory areas such as Prime Brokerage, Clearing and Settlement Services, Securities Lending (including Fully Paid Lending), Portfolio Margining, Outsourced Trading models, options and equity trading, Structured Products, 15a-6 arrangements, and Floor Brokerage functions.

• Proven ability to draft and implement detailed supervisory policies and procedures to ensure compliance with both internal standards and external regulations.

• Adept at managing competing priorities and working under pressure in environments requiring swift and accurate decision-making.

• Demonstrated skill in engaging confidently with senior executives and business leaders, offering sound compliance counsel.

• Capable of making informed, high-stakes regulatory decisions and defending them under scrutiny in complex operational environments.

• Efficient in navigating multiple projects concurrently while adapting quickly to changing regulatory or business demands.

• Comfortable functioning autonomously and within cross-functional teams.

• A self-motivated professional with the ability to quickly grasp new concepts and drive initiatives with limited oversight.

• Acutely aware of regulatory expectations in highly supervised environments and experienced in identifying and managing compliance and operational risks.

Job Offer

Candidate has the chance to join one of the fastest growing US platforms and provide meaningful direction to the firm's compliance advisory across the broker-dealer.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.