Broker Dealer Compliance Officer

Responsibilities

• Partner with executive leadership to develop, execute, and continuously enhance a comprehensive regulatory oversight framework for the firm's securities-related activities.
• Provide strategic direction and governance across core risk management functions, including supervisory review processes, monitoring activities, issue resolution, regulatory filings, and control testing programs.
• Act as a senior resource for escalated matters involving regulatory exposure, supervisory concerns, policy interpretation, and business conduct risks.
• Oversee compliance considerations associated with specialized investment offerings and insurance-related products, including non-traditional investment solutions and other complex distribution channels.
• Participate in review and governance processes supporting the evaluation, onboarding, and ongoing oversight of investment products from a regulatory risk perspective.
• Maintain and enhance supervisory policies, procedures, and control documentation to support effective operational oversight.
• Work closely with business unit leaders to strengthen governance practices, improve control environments, and address identified risk areas.
• Coordinate interactions with regulatory bodies and external reviewers, including examination support, information requests, remediation efforts, and tracking of corrective measures.
• Evaluate emerging regulatory and industry developments and assess potential impacts on distribution practices, client engagement activities, and operational processes.
• Provide guidance to internal stakeholders regarding promotional initiatives, communications, and business development activities to ensure alignment with applicable requirements.
• Lead, coach, and support members of the compliance organization to build technical expertise, succession depth, and professional growth.
• Champion a culture of integrity, accountability, and sound risk management throughout the organization.