Head of Compliance / Lead Regulatory Counsel Counsel Jobs in California - 136038 | Submit Resume | General Counsel Consulting
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Head of Compliance / Lead Regulatory Counsel
Refer job# VYXK136038
Head of Compliance / Lead Regulatory Counsel Responsibilities: Provide strategic direction to the company around how to make compliance our competitive advantage and how to navigate the grey areas within regs and compliance requirements to add enterprise value. Manage compliance for a broker-dealer affiliate, including reviews of specific securities offerings, annual FINRA/SEC site audits, and advertising reviews. Partner with senior management to ensure that FINRA, SEC and other regulatory changes are correctly implemented and that required process and/or system reviews are successfully implemented, documented, and tested. Ensure that robust management reporting of compliance findings is in place, detailing both thorough analysis of any areas of concern as well as applicable trend analysis; ensure that issues are escalated as appropriate and all action items are completed / resolved. Serve as regulatory compliance subject matter expert on process and system changes, ensuring that business requirements have been developed in compliance with regulatory requirements. Oversee the review of marketing materials, and edit related copy with a view to FINRA requirements and guidance. Oversee licensing and registration work for mortgage compliance in multiple states. Manage all compliance-related forms and filings. Work with outside consultants and/or counsel to manage compliance related matters and seek clarity and guidance. Oversee a compliance team and provide support, leadership and guidance to that team across various compliance functions and requirements.

Qualifications: Bachelor s Degree desired. 10+ years of securities compliance experience. Real estate experience and experience as a litigation and investigations attorney (especially concerning financial services disputes) a plus . Experience working on compliance for a broker-dealer including facilitating annual FINRA/SEC site visits, advertising review and general compliance functions. Fund management or RIA compliance experience. Experience working with outside consultants and/or counsel to manage compliance-related matters. Desired: Extensive experience with multiple investment product lines. First-hand experience developing and implementing compliance policies, with an eye to thorough adoption and preparing compliance-related filings. Strong understanding of the regulations governing broker-dealers and investment advisory companies. An empower others mindset rather than a gatekeeper mindset. Ability to work independently, have strong problem solving skills, and be able to work with minimal guidelines. Strong analytical, process, and people skills. Excellent oral and written communication skills. Ability to work proactively and operate accurately and efficiently in a fast-paced environment with variable deadlines. Demonstrated organizational skills and strong attention to detail.
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