What are the responsibilities and job description for the Broker Dealer, Compliance Leader- Distribution position at Howard-Sloan Search?
This position fulfills an essential leadership function - ensuring compliance with FINRA rules, SEC regulations governing broker‑dealer activities & distribution of complex products
Responsibilities: include strategic direction, supervisory oversight, and day‑to‑day compliance leadership across sales practices, product governance, supervision, regulatory engagement, & compliance operations
- Support the CCO in designing, implementing, & maintaining an effective broker dealer compliance program consistent with FINRA & SEC rules.
- Provide oversight of supervision, surveillance, investigations, regulatory reporting, & compliance testing
- Oversee compliance related to the distribution of alt. investments, structured products, and annuities, including private placements and complex products.
- Manage the development, maintenance, and enforcement WSPs.
- Manage responses to regulatory examinations, inquiries, to ensure timely remediation, and track remediation actions.
- Keep abreast of regulatory developments impacting broker dealer operations and distribution.
- Collaborate across business lines on new marketing initiatives.
- Qualifications:
- 12 years of relevant experience
- Significant experience in a FINRA‑registered broker‑dealer environment, including leadership or supervisory responsibility
Salary : $180,000 - $220,000