Compliance Director - Remote

Overview

The Compliance Director will lead Plume’s broker-dealer and transfer agent compliance programs, ensuring adherence to all applicable securities laws, regulations, and internal policies. This role is pivotal in mitigating risks, fostering a culture of compliance, and serving as the primary liaison with regulatory bodies such as the SEC and FINRA.

In Short

• Develop and maintain compliance policies for broker-dealer operations.
• Assist in drafting Form BD submission materials.
• Monitor regulatory changes from SEC and FINRA.
• Conduct internal audits and risk assessments.
• Oversee the AML program and customer due diligence.
• Ensure compliance with transfer agent regulations.
• Provide compliance training to employees.
• Manage regulatory examinations and inquiries.
• Collaborate with management on compliance integration.
• Maintain records of compliance activities.

Requirements

• Bachelor's degree in Finance, Business, Law, or related field.
• Minimum of 5 years in compliance roles, preferably in financial services.
• Active FINRA Series 7 and Series 24 licenses required.
• Solid understanding of SEC and FINRA rules.
• Proven ability to manage compliance programs.
• Strong analytical and communication skills.
• Proficiency in compliance software and tools.
• High ethical standards and commitment to compliance culture.

Benefits

• Competitive salary and benefits package.
• Opportunities for professional development.
• Collaborative work environment with flexibility for remote arrangements.
• Significant impact in a growing firm.