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

Mar 5, 2025 - 01:19

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