Director of Compliance – Broker-Dealer Reg & Strategy

Posted 2 days ago

leeds professional resourcesMiami (FL)

Compliance Managers Investment Banking and Securities Intermediation

SENIORITY

Manager

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About the role

Leeds Professional Resources is recruiting on behalf of a client in Miami, FL for a Director of Compliance with Broker/Dealer experience to oversee the entire compliance program. The role requires deep knowledge of securities regulations, strong communication skills, and the ability to manage relationships with regulatory agencies. You will lead regulatory filings, policy development, monitoring, AML program oversight, and staff training while liaising with SEC and FINRA.

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