DIRECTOR COMPLIANCE - Funds Management/Broker Dealer

Location
Fairfield County, CT

Scope and Responsibility
Provide compliance support to regulatory reporting systems, to manage the registration issues for NASD, NFA and FSA registered personnel and SEC and FSA registered entities. Such support includes interpretation of rule requirements, development of written supervisory procedures and controls, and management of regulatory relations and inquiries as it relates to regulatory reporting systems. Position will also be responsible for developing and maintaining effective relationships with business appropriate partners to maintain an effective "compliance culture" within the business.

Background Required

Bachelors Degree (minimum)

Graduate Degree in business or law (desired, but not required)

10 Years Experience (overall) in Brokerage Industry

5-7 Years Compliance Experience with a focus on regulatory reporting regulations

2-3 years of management experience

Strong analytical skills

Strong communication skills

Project management skills

Series 7, 24 required and 14 preferred

Compensation
Six-figure position, commensurate with experience.

Apply online for consideration.