- Broker-dealer compliance for the limited purpose BD: policies and procedures, filings, training, compliance testing, strategic initiatives.
- Americas distribution compliance, including Canada and Brazil: lobbyist registrations, fund registrations, private launch support.
- Global marketing review: leads the team that reviews and approves marketing materials, digital content, presentations, and RFPs under the SEC Marketing Rule and FINRA standards.
- Scope extends beyond distribution; the pitch is leadership, mentorship, and driving change inside a rapidly growing firm.
Requirements: 12 to 15 years of FINRA broker-dealer compliance, institutional background preferred; deep knowledge of securities laws for FINRA members and SEC-registered advisers; Series 24 required; proven team management.
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