Director of Compliance
AlpacaCore Responsibilities
The Director of Compliance supports all aspects of the Firm’s compliance program and works closely across business lines to ensure effective execution of compliance initiatives. This role includes applying knowledge of FINRA rules, drafting compliance policies, and supporting regulatory examinations.
Requirements
Candidates must have at least 10 years of experience managing compliance matters within FINRA, SEC, and OCC jurisdictions, preferably in a broker-dealer environment. A bachelor's degree in Finance, Business, Law, or a related field is required, along with specific FINRA licenses.
Key Skills & Technologies
Additional Information
Experience Level
10+ years
Job Language
English