Director Compliance Consulting

Profile

Director, Compliance Consulting
The candidate will be a team leader for our broker-dealer compliance business. Interact with senior management of broker- dealer clients and regulatory authorities. Maintain, build and develop client relationships while also identifying and sourcing new opportunities with existing or new clients. Act as a key point of contact for clients on engagement delivery on a daily basis while executing on client deliverables. Provide technical expertise on complex issues around FINRA and SEC broker-dealer registration, ongoing compliance issues, exam support, mock examinations and reporting. Stay abreast of relevant regulatory developments. Mentor, develop and motivate staff at the VP, associate and analyst level. Minimum of 8 years of experience within the legal/consulting/professional services capacity focused on regulatory compliance. Bachelor’s degree is required. MBA, JD or equivalent is preferred. Strong knowledge of FINRA and SEC broker-dealer regulations. Previous regulatory examination experience within FINRA or the SEC, preferred. Prior client relationship experience giving advice on regulatory matters and demonstrable strong technical skills in regulatory compliance issues. Demonstrable experience in building and managing project teams to address complex issues. Ability to lead and manage day to day aspects of engagement activities and an ability to work with clients. Excellent written and verbal communication skills that help represent diverse communities. Experience working with diverse teams.

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