Functional Title: Director of Broker/Dealer Compliance
Location: New York, NY
This individual will be responsible for helping to design and implement the compliance program associated with a limited purpose broker/dealer that distributes alternative assets. This individual will also be responsible for the review of bank, mutual fund, and broker/dealer related marketing materials. Therefore, experience with FINRA’s rules and regulations are a must. Experience with commodities will also be considered a plus.
- Design and implementation of a marketing material review program;
- Design and implementation of a branch office compliance program;
- Design and implementation of an email surveillance program;
- Oversight of an employee personal trading program