This position will work directly with the Chief Compliance Officer (CCO)/ Chief Operating Officer (COO) and will manage and oversee compliance related functions for Brokers International Financial Services, LLC. The Director will direct programs, policies, and practices to ensure that all business units are in compliance with rules and regulations and tracks changes in regulations that might affect the organization’s policies and implements necessary changes.

KNOWLEDGE, SKILLS, AND ABILITIES

• Must display Core Values
• Advanced technical knowledge and advanced understanding of broker-dealer and RIA business processes.
• Thorough understanding of rules, regulations and legal requirements of the SEC, FINRA, MSRB, AML and state securities regulators.
• Proficiency with examination principles and practices for the securities industry.
• Must be able to learn use of internal and third-party systems.
• Ability to identify, weigh and convey potential risks.
• Ability to communicate effectively with all levels of management.
• Ability to develop and implement effective strategies and short/long term planning.
• Maintains high standards of confidentiality of all information.

EXPERIENCE AND EDUCATION

• Financial Services Industry experience required. Prior Broker Dealer and RIA experience preferred. Product knowledge in variable life, variable annuities, mutual funds, managed accounts, financial planning and securities a plus.
• Four-year college or university program and six to eight years related experience and/or training; or equivalent combination of education and experience.
• FINRA Series 7 and 24 required, Series 66, Series 65, Series 53, and Series 4 preferred or required within 6 months; Insurance and state securities license(s) in state(s) of operation for life, health, and variable annuity may be required.

Please refer the Job description for details