EVP Compliance - Larson Maddox : Job Details

Base pay range 165,000.00 / yr - $215,000.00 / yr

Direct message the job poster from Larson Maddox

A well-established self-clearing broker-dealer is seeking an experienced EVP Compliance to support and enhance its regulatory compliance framework. This leadership role involves advising on FINRA, SEC, and state regulations, overseeing compliance programs, and collaborating with internal teams to ensure adherence to industry standards. This position is located in Midtown, Manhattan and is looking for someone to come in to the office on a hybrid schedule. If interested, feel free to apply below.

• Bachelor's degree in law, finance, business management, or a related field.
• Over 5 years of experience in a compliance role within broker-dealer or related financial entities.
• Active Series 7 and Series 24 licenses.
• Familiarity with Trillium software and broker-dealer financial responsibility rules.

• Develop, maintain, and improve the firm's compliance program using regulatory knowledge and risk management techniques.
• Monitor regulatory changes and implement necessary updates to policies and procedures.
• Collaborate with Operations and Trading teams to ensure compliance with applicable rules.
• Lead regulatory examinations and annual compliance reviews, including employee communication monitoring.