Senior Director, Compliance

moomoo•Jersey City, NJ

23h•$175,000 - $210,000

About The Position

The Senior Compliance Director supports the Chief Compliance Officer (CCO) in implementing, administering, and maintaining the Firm’s compliance program, including risk-based monitoring and testing, regulatory oversight, supervisory controls, and compliance advisory functions. The role independently manages assigned Compliance responsibilities, identifies and addresses regulatory risks, supports examinations and filings, and partners with business stakeholders to develop practical, risk-based solutions. The position requires extensive broker-dealer compliance experience and strong knowledge of SEC and FINRA requirements, with the ability to support additional frameworks, including CFTC, NFA, and applicable state securities and financial services regulations. The successful candidate is proactive and detail-oriented, and can translate complex regulatory requirements into effective policies, procedures, and operational controls.

Requirements

At least eight years of compliance-related experience at a broker-dealer.
Experience with compliance monitoring, testing, regulatory reviews, or related internal controls.
Working knowledge of applicable broker-dealer regulatory requirements.
Strong written and verbal communication skills.
Ability to work independently, collaborate across functions, and solve problems proactively.
FINRA Series 7 license required.
FINRA Series 24 license required.
FINRA Series 4 may be obtained within four months.
FINRA Series 3 may be obtained within six months.

Nice To Haves

Bachelor’s degree or equivalent work experience.
Experience supporting SEC, FINRA, CFTC/NFA, and NMLS state examinations.
Experience preparing regulatory filings and maintaining compliance documentation.
Experience designing or enhancing monitoring and testing procedures.
FINRA Gateway proficiency.
AML/Fraud experience.
Trade Surveillance experience.
Experience with MCO, Global Relay, or Red Oak.
ACAMS certification preferred.

Responsibilities

Develop, execute, and document risk-based compliance monitoring, testing, and supervisory reviews; assess internal controls, identify deficiencies, recommend corrective actions, and track remediation.
Develop, review, and maintain Written Supervisory Procedures (WSPs), compliance policies, customer agreements, risk disclosures, fee schedules, and other regulatory documentation.
Prepare, review, and administer regulatory filings and registrations, including Forms U4, U5, BD, 7R, 8R, MU2, Form CRS, FINRA Rule 4530 reporting, and other applicable filings; manage regulatory entitlements and registration requirements.
Support internal reviews and regulatory examinations conducted by FINRA, SEC, NFA, CFTC, and state regulators by coordinating information requests, preparing responses, maintaining supporting documentation, and tracking findings.
Administer employee compliance programs covering onboarding and offboarding, personal trading and designated brokerage accounts, outside business activities, private securities transactions, gifts and entertainment, personnel disclosures, annual attestations, and Firm trading windows.
Review and monitor employee electronic communications and customer-facing materials, including advertising, website content, Help Center articles, customer service scripts, and other retail communications.
Review and investigate customer complaints, coordinate resolutions and regulatory responses, assess reporting obligations, and escalate material issues as appropriate.
Support annual supervisory control reviews, branch inspections, compliance certifications, regulatory renewals, and employee training, including Firm Element and Regulatory Element continuing education.
Administer and oversee Compliance systems and workflows for employee monitoring, communications surveillance, advertising reviews, regulatory filings, and related supervisory controls.
Provide practical compliance guidance on regulatory requirements, operational issues, new products, business initiatives, and control enhancements, including broker-dealer, futures, and digital asset activities as applicable.
Monitor regulatory developments, assess their impact on Firm operations, and collaborate with Legal, Product, Technology, Operations, Finance, and other stakeholders on regulatory implementation, process improvements, system enhancements, and testing.
Lead or support compliance-related initiatives, investigations, and special projects as assigned by the CCO or senior management.