Vice President, Markets Compliance
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Vice President, Markets Compliance
About the Role
Greater Orlando, FL Area(Lake Mary, Florida)
The Company is in search of a Vice President for its Markets Compliance team, with a focus on supporting the US Broker Dealer. The successful candidate will serve as a strategic partner to business and platform leads, Compliance, Finance, and Operations, providing expert advice on US broker dealer laws, rules, and regulations. This role involves working cross-functionally to design, implement, and maintain a robust compliance program for both new and existing business offerings. The Vice President will also be responsible for conducting risk assessments, collaborating on internal monitoring reviews, and supporting the Chief Compliance Officer in managing compliance programs, including board and management reporting. Applicants for this high-visibility role should have a Bachelor’s degree or professional certification, with a preference for 5+ years of relevant compliance and/or financial services experience. A thorough knowledge of SEC and FINRA regulations, as well as solid understanding of compliance and risk management best practices, is essential. The role requires a proactive individual with the ability to influence stakeholders at all levels and drive compliance initiatives in a collaborative, matrixed environment. Experience in the review of investment adviser and broker-dealer advertising and marketing materials is a plus. The ideal candidate will be adept at analyzing and supporting the business in the development and implementation of procedures and controls to meet regulatory requirements.
Functions:
- Legal
About the Company
Internationally recognized investment services firm
Industry
Financial Services
Type
Public Company (BK)
Age
employees
10,001+
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