📋 Role Overview & Responsibilities
Director of Compliance -Broker DealerGlenn Mills, PAOn-site or Hybrid
Our client, a full-service Investment Management Solutions Firm providing, Investment Adviser Compliance Solutions, Mutual Fund Compliance Solutions, Broker Dealer Compliance Solutions, and Compliance Consulting to a diversified range of investment management clients is seeking a Director of Compliance to join their team. This firm was awarded as the Best Regulatory & Compliance Advisor by Institutional Asset Management in 2023 and is the second largest compliance firm in the US.
This Director of Compliance will report directly to the Chief Operating Officer/Managing Director and will be responsible for servicing and consulting for their broker-dealer clients. This includes duties and functions – specifically onsite and remote consulting, providing director level support, conducting exams, customizing policies and procedures and leading clients in maintaining best in class compliance programs.The Director of Compliance will track service providers' compliance policies and procedures and summarize, along with supporting the preparation of quarterly and annual compliance reports. Most importantly, they will establish and maintain effective relationships with business partners and service providers, while showcasing a professional and executive presence.
Qualifications:Bachelor’s degree, preferably in a related field5-8 years of Compliance and/or related industry experience, with extensive knowledge of FINRA and SEC regulationsMust hold Series 7 and 24 licensesExperience with rules and regulations applicable to broker-dealersSubstantial experience managing regulatory exams and responding to regulatory inquiriesAbility to keep abreast of rules, regulations, and current issues impacting clients and to be able to disseminate this information to clientsExcellent writer and communicatorAbility to initiate and drive projects to completion with minimal guidance and with a sense of urgencyStrong organization, prioritization and time management skills
Frequently Asked Questions
How do I apply for the Director of Compliance position at ? ▼
Click the “Apply for this Position” button on this page to submit your application directly to without recruitment intermediary fees.
Is this position eligible for remote work or visa sponsorship? ▼
This position is located in Glen Mills, PA with potential relocation and sponsorship assistance depending on candidate qualifications.
Are there any candidate fees on Hirely? ▼
No. Hirely is completely free for candidates. We never charge registration fees or placement fees.
Legitimate employers will never ask you to transfer funds, purchase equipment from unauthorized vendors, or pay application/visa fees. Hirely rigorously monitors listings, but always verify communication is from official corporate email domains.
Learn how to protect yourself against employment fraud →