The successful candidate will beresponsible for overseeing the firm’s compliance functions and ensuring thatall business operations adhere to regulatory standards and firm policies. Thisrole requires a deep understanding of broker-dealer compliance regulations,excellent leadership skills, and the ability to effectively train and guideteam members.

Key Responsibilities:

• Compliance Email Supervision: Monitor and review all email communications to ensure compliance with regulatory requirements and firm policies.
• NewBusiness Review Supervision: Overseethe review process for new variable annuity, direct mutual fund, and all otherBroker-Dealer business, ensuring they meet all compliance and regulatorystandards before implementation.
• ​ExistingBusiness Review Supervision: Conductregular reviews of existing  variableannuity, direct mutual fund, and all other Broker-Dealer business,ensure ongoing compliance and identify areas for improvement.
• Compliance: Develop, implement, and maintain comprehensivecompliance programs and policies. Respond to regulatory inquiries and conductinternal audits.
• Training: Develop and deliver training programs to educatestaff on compliance policies, regulatory changes, and ethical conduct.

Requirements

• Required licensing: Series 9/10 or 24 (Required, Series 24 Preferred.)
• Provenexperience in a supervisory role within a broker-dealer environment.
• Extensiveknowledge of broker-dealer regulations and compliance requirements.
• Strongleadership and organizational skills, with the ability to manage multiple taskssimultaneously.
• Excellentcommunication skills, both verbal and written.
• Abilityto work effectively with all levels of staff, management, and regulators.
• Detail-orientedwith a proactive approach to problem-solving.

Benefits