Job Description
Associate Vice President, Broker Dealer Compliance About the Company Renowned financial services firm Industry Financial Services Type Privately Held About the Role The Company is seeking an Associate Vice President for Broker Dealer Compliance to join its U.S. compliance function. This role is pivotal in providing day-to-day compliance advisory for capital markets and banking businesses, with a focus on licensing and registration activities, including U4/U5 and Form BD filings, and ensuring adherence to FINRA continuing education requirements. The successful candidate will also be responsible for managing employee compliance matters, such as personal account dealing, trade preclearance, outside business activities, and conflicts disclosures. Additionally, the role involves supporting the development and maintenance of compliance policies, WSPs, and governance documentation, as well as participating in regulatory initiatives, audits, and control enhancements. Applicants for this role at the company should have a strong background in FINRA regulatory and broker-dealer compliance, with direct experience in U4/U5 filings and FINRA Gateway. Knowledge of personal trading, outside business activities, and employee compliance oversight is essential. The ideal candidate will be able to work independently in a fast-paced environment, possess strong communication skills, and have the ability to interact effectively with senior stakeholders. Exposure to capital markets, Control Room, or cross-border compliance environments is a plus. This is a high-impact, high-visibility role that offers the opportunity to work in a collaborative global environment and to contribute to the enhancement of compliance infrastructure. Travel Percent Less than 10% Functions Finance