Director of Broker Dealer Compliance

As Director of Compliance, you will play a key role in developing and executing the firm's supervisory controls and regulatory program. This will involve working with the Legal team and different business units to evaluate the effectiveness of existing compliance controls and implement process improvements.

Requirements

• Monitor and interpret securities regulations, including those established by the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and other relevant regulatory bodies, ensuring that the firm's activities and operations align with these regulations.
• Develop, maintain and enforce the firm's Written Supervisory Procedures to keep the firm’s business in compliance with applicable laws and regulations.
• Oversee all regulatory filings for the broker-dealer, its registered representatives and private investment offerings.
• Monitor and ensure compliance with AML/KYC requirements including surveillance and investigations.
• Collaborate with the sales and marketing team to review and approve advertising/marketing materials and submit with FINRA as applicable.
• Responsible for testing supervisory procedures/controls in accordance with FINRA Rule 3120.
• Conduct Branch Audit Inspections.
• Recognize and address continuous regulatory shifts, guarantee the execution of necessary policies/procedures, and provide suitable operational and compliance supervision.
• Assist the President of PPCI and Peachtree Group’s General Counsel with contract reviews and conducting third-party and vendor due diligence.

Benefits

• Full-time employment
• Competitive salary
• Benefits package
• Opportunities for career growth and development