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Compliance Associate Director - Broker/Dealer

  • Location: Chicago, IL
  • Job Type: Direct Placement
  • Ref No: 21-00303
  • Date: January 21, 2021
  • Job title:

Job Description - Compliance Associate Director - Broker/Dealer

Compliance Associate Director

A midsize management consulting firm is looking for a Compliance Associate Director to have senior oversight of client regulatory compliance matters within the financial services division

Considered candidates will:

  • Support an entire sales cycle; pitches, proposals, follow-ons and general contract terms
  • Lead a large portfolio of clients as the primary day-to-day oversight resource
  • Have deep familiarity for practical compliance and regulatory matters relating to SEC (e.g. investment advisor) CFTC / NFA and Client (e.g. broker-dealer) rules, and other regulators where applicable
  • Have familiarity with various regulatory mock examination audits, including documentation requests, onsite reviews / interviews and drafting reports
  • Have the ability to lead clients on developing all relevant policies and procedures relating to compliance manuals, code of ethics and other areas documented within the business
  • Demonstrate the ability to lead on with compliance protocols and training regarding use of expert networks / MNPI, marketing, personal trading, electronic communications surveillance, best execution, SEC 206(4)-7 reviews, etc.
  • Anticipate client regulatory risks and expectations, focus resources on the necessary tasks that need completion (without compromising quality or other client deliverables)
  • Be up to date on current regulatory developments and abreast of new developments on the horizon
  • Experience with Financial Conduct Authority (FCA) or other global regulators a plus


  • Undergrad degree required from an accredited college or university, J.D. or Advanced degree a plus
  • 5-8 years of total industry experience working at one or more asset managers (in-house), law firm (paralegal), advisory services firm or ex. Regulator


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