Head of Regulatory Compliance & Supervision (Series 24)

HEAD OF BROKER-DEALER & INVESTMENT ADVISER COMPLIANCE

A global financial services organization is seeking an experienced senior compliance executive to lead the compliance and supervisory framework supporting its U.S. broker-dealer and investment advisory businesses.

This is a senior leadership position with responsibility for maintaining a strong culture of compliance, integrity, and effective supervision while acting as a strategic partner to senior management and the business.

The successful candidate will oversee the design, implementation, and ongoing effectiveness of the firm's compliance program and supervisory framework, including policies and procedures, monitoring, testing, training, regulatory reporting, supervisory controls, and issue management.

Key Responsibilities

• Lead compliance for U.S. broker-dealer and registered investment adviser (RIA) activities.


• Develop and enhance the compliance program in accordance with applicable U.S. securities laws, SEC requirements and FINRA rules.


• Serve as a registered FINRA Supervisory Principal with appropriate supervisory authority.


• Maintain effective broker-dealer supervisory systems, controls, and procedures.


• Oversee branch and business-line supervision, communications review, suitability, sales practices, books and records, customer accounts, and regulatory reporting.


• Review and approve transactions, accounts, communications, and activities requiring principal approval.


• Provide independent compliance advice, challenge, escalation, and regulatory guidance to senior leadership.


• Serve as a senior point of contact with FINRA, the SEC, and other applicable regulatory authorities.


• Manage and support regulatory examinations and related regulatory matters.


• Oversee the investment adviser compliance program under the Investment Advisers Act of 1940.


• Maintain compliance policies, procedures, and the firm's Code of Ethics.


• Oversee the annual review and assessment of the investment adviser compliance program.


• Advise on fiduciary duty, conflicts of interest, disclosures, advertising and marketing, and personal securities transactions.


• Monitor regulatory developments and assess their impact on the business.


• Support business expansion, new products, and strategic initiatives while maintaining an effective control environment.


• Promote a strong culture of ethical conduct, accountability, and regulatory awareness.

Required Qualifications

• Bachelor's degree required; advanced degree or relevant professional designation preferred.


• Significant senior-level compliance experience within a U.S. broker-dealer and/or registered investment adviser.


• Strong knowledge of SEC and FINRA rules and applicable U.S. securities laws.


• Demonstrated experience as a FINRA Registered Principal.


• FINRA Series 24 required.


• Experience managing regulatory examinations and relationships with FINRA, SEC, and other regulatory authorities.


• Demonstrated experience developing and enhancing compliance programs, supervisory systems, policies, and procedures.


• Experience within a global financial institution and/or cross-border regulatory environment.


• Experience supporting business expansion, new products, or strategic initiatives in the U.S.


• Portuguese and/or Spanish language proficiency is preferred.


• Must be authorized to work in the United States without current or future employment-based visa sponsorship.