Director of Broker Dealer Compliance

Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance Responsibilities: Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and private/non-listed investment products Provide technical guidance and expertise, promote examination preparedness and remain up-to-date on regulatory developments and industry best practices Support Chief Compliance Officers in liaising with regulatory authorities, responding to inquiries and coordinating regulatory examinations Help maintain and implement the firm’s adviser, fund, AML/KYC and CPO/CTA compliance programs Address licensing, registration, reporting, continuing education, training, written supervisory procedures, evidence of supervisory delegation, non-branch and OSJ remote office inspection and other SEC/FINRA regulatory requirements Work with registered funds’ transfer agent in addressing and resolving exceptions (e.g., SEC Rule 22c-1, new accounts, AML/KYC) Perform special projects and ad hoc assignments, as required Qualifications: Bachelor’s degree 7 years executing compliance programs for a registered broker-dealer Series 7, 24 and 99 licenses Superior organizational skills; careful and thorough, with particular attention to detail Excellent computer skills and knowledge of MS Office, including Outlook, Word, Excel, and PowerPoint Experience with FINRA Gateway system required Experience with AdMaster, MyComplianceOffice and Global Relay (or equivalent systems) a plus