The Compliance Director is responsible for overseeing and managing the firm’s compliance programs and ensuring adherence to all applicable FINRA, SEC, and state regulatory requirements. This role will lead compliance monitoring, internal policies, audits, and examinations, while also managing a team of compliance and/or operations professionals.
Key Responsibilities
- Execute and manage the firm’s overall compliance framework and annual compliance programs.
- Oversee daily compliance operations, including employee trade monitoring, advertising review, Form ADV updates, and regulatory filings (e.g., Form U4/U5, Form CRS).
- Serve as a liaison with FINRA and the SEC during regulatory audits, exams, and inquiries. Also acts as primary liaison with clearing firm, addressing regulatory and operations requests promptly.
- Ensure timely and accurate compliance with CATS (Consolidated Audit Trail) and CAIS (Customer and Account Information System) reporting obligations.
- Monitor and maintain state registration requirements for representatives and associated people.
- Manage a team of compliance and/or operations associates, providing leadership, performance feedback, and career development guidance.
- Conduct internal compliance reviews and risk assessments to identify potential vulnerabilities and implement corrective actions.
- Monitor regulatory updates and industry developments, assessing their impact on firm policies and procedures.
- Assist in the development and delivery of compliance training programs for advisors and staff.
- Maintain records and documentation to support firm policies, procedures, and compliance with regulatory obligations.
- Ad hoc projects and initiatives as needed
Qualifications
- Bachelor’s degree required
- Minimum of 5 years’ experience in the Financial Services industry or related, highly regulated field.
- Required: FINRA Series 7, 66 (or equivalent) and 24. Series 4 and 53 licenses are also required and can be obtained after hire.
- Firm understanding of compliance regulations as they pertain to a Broker Dealer and RIA.
- High level of integrity, professionalism, and attention to detail.
- Strong analytical and investigative skills.
- Excellent verbal and written communication skills, with the ability to convey complex regulatory issues clearly.
- Proven ability to work collaboratively across departments and influence stakeholders.
Committed to Equal Opportunity
Brighton Securities believes in equal opportunity for all and is committed to ensuring all individuals have an opportunity to apply for those positions they are interested in and qualify for without regard to race, religion, ethnicity, national origin, citizenship, gender, gender identity, sexual orientation, age, veteran status, disability, genetic information, or any other protected characteristic. Brighton Securities will make reasonable accommodation for known physical or mental limitations of otherwise qualified employees and applicants with disabilities unless the accommodation imposes an undue hardship on the operation of our business.