Broker-Dealer Compliance Manager

This is a remote position.

The successful candidate will be responsible for overseeing the firm’s compliance functions and ensuring that all business operations adhere to regulatory standards and firm policies. This role requires a deep understanding of broker-dealer compliance regulations, excellent leadership skills, and the ability to effectively train and guide team members.

Key Responsibilities:

• Compliance Email Supervision: Monitor and review all email communications to ensure compliance with regulatory requirements and firm policies.
  
• New Business Review Supervision: Oversee the review process for new variable annuity, direct mutual fund, and all other Broker-Dealer business, ensuring they meet all compliance and regulatory standards before implementation.
  
• Existing Business Review Supervision: Conduct regular reviews of existing variable annuity, direct mutual fund, and all other Broker-Dealer business, ensure ongoing compliance and identify areas for improvement.
  
• Compliance: Develop, implement, and maintain comprehensive compliance programs and policies. Respond to regulatory inquiries and conduct internal audits.
  
• Training: Develop and deliver training programs to educate staff on compliance policies, regulatory changes, and ethical conduct.
  

• Required licensing: Series 9/10 or 24 (Required, Series 24 Preferred.)
  
• Proven experience in a supervisory role within a broker-dealer environment.
  
• Extensive knowledge of broker-dealer regulations and compliance requirements.
  
• Strong leadership and organizational skills, with the ability to manage multiple tasks simultaneously.
  
• Excellent communication skills, both verbal and written.
  
• Ability to work effectively with all levels of staff, management, and regulators.
  
• Detail-oriented with a proactive approach to problem-solving.