Cadre is seeking a compliance leader eager to grow & lead extraordinary broker-dealer & RIA compliance programs at a cutting-edge fintech firm. Your experience has taught you how to build out effective & intelligent processes & procedures. You have a business mind, & are always seeking new & improved ways of doing things. You have the confidence & ability to work productively with our regulators & internal team, & can communicate clearly & persuasively. You have a strong understanding of the core rules & regulations underpinning FINRA broker-dealer & SEC investment adviser compliance functions, but also an understanding of business operations, strategy & process.
Most importantly, you are driven to build an elite compliance department with a world-class team. You dont want to do things the way it has always been doneyou want to improve. You want to build a team & organization we can all be proud of, one that changes the way people think about compliance operations.
What Youll Do
- Lead our compliance organization, providing guidance & support to our business partners, senior management, & our Board of Directors
- For both our broker-dealer & RIA functions, ensure that appropriate regulatory policies, procedures & controls are established, maintained & well-documented
- Develop & deliver training & communications on compliance policies & procedures to ensure proper understanding across the organization of regulatory related risks & responsibilities
- Take ownership of all ongoing compliance review processes, including annual meetings, Form ADV & Form BD filings, policies & procedures, etc.
- Manage & coordinate SEC & FINRA regulatory examinations, including written responses
- Partner with the Legal team to analyze changes to regulatory requirements & proactively handle regulatory developments
- Become an industry thought leader as we grow & expand our business.
- Reviewing & updating compliance policies & procedures to reflect industry best practices, the evolving regulatory environment & changes to the business
- Drafting federal & state regulatory filings & compliance documentation
- Maintain all required books, records, manuals & correspondence
- Assisting with educating staff on compliance-related matters
- Conducting vendor due diligence
- Drafting contracts & related internal compliance materials
- Assisting with the preparation, organization & maintenance of corporate documents
- Coordinating & communicating with internal & external parties on various legal & compliance related matters
What You Have
- A minimum of 10 years experience as a compliance professional at a SEC-registered investment adviser, broker-dealer, or regulator (diversity of experience strongly preferred)
- JD preferred but not required
- Experience with rules & regulations applicable to investment advisers & broker-dealers
- Comfort with ambiguity - capable of solving complex problems independently in a fast-paced environment
- Demonstrated success as a values-based leader who can build & maintain a culture of empowerment, ownership, & accountability
- Ability to initiate & drive projects to completion with minimal guidance
- Demonstrated success at partnering, prioritizing, & balancing needs cross-functionally
- Substantial experience managing regulatory audits
- Excellent writer & communicator
- Series 7 & 24