Colorado Licensed Compliance Director
A company is looking for a Director, BD/RIA Compliance.
Key Responsibilities
Develop, implement, and maintain broker-dealer written supervisory procedures (WSPs)
Assist with regulatory inquiries, examinations, and audits, as well as manage BD state registrations
Monitor industry compliance trends and advise on policies to ensure regulatory adherence
Required Qualifications
7 years of broker-dealer and/or RIA compliance experience, preferably in private placements or investment banking
Bachelor's degree required, or 6+ years of relevant experience in lieu of a degree
Extensive knowledge of securities laws and SEC/SRO rules and regulations, including Series 7 and 24 registrations
Strong technical skills in MS Word and Excel
Ability to work in a fast-paced environment while being detail-oriented and organized
A company is looking for a Director, BD/RIA Compliance.
Key Responsibilities
Develop, implement, and maintain broker-dealer written supervisory procedures (WSPs)
Assist with regulatory inquiries, examinations, and audits, as well as manage BD state registrations
Monitor industry compliance trends and advise on policies to ensure regulatory adherence
Required Qualifications
7 years of broker-dealer and/or RIA compliance experience, preferably in private placements or investment banking
Bachelor's degree required, or 6+ years of relevant experience in lieu of a degree
Extensive knowledge of securities laws and SEC/SRO rules and regulations, including Series 7 and 24 registrations
Strong technical skills in MS Word and Excel
Ability to work in a fast-paced environment while being detail-oriented and organized