Alternative Regulatory Solutions, LLC · 2 days ago
Managing Director of Compliance Services (Municipal and Fixed Income Experience)
Roseland, NJ
Full-time
Onsite
Senior Level, Lead/Staff
$150K/yr - $225K/yr
10+ years expAlternative Regulatory Solutions is a national financial services advisory firm serving various financial entities. They are seeking a Managing Director to lead compliance programs for Municipal Advisors, Broker Dealers, and Registered Investment Advisors, focusing on program design and regulatory interpretation.
Financial Services
Responsibilities
Serve as the primary compliance advisor for a portfolio of MA, BD, and RIA Clients
Be available to assist staff with regards to complex questions and interpretations of MSRB, SEC, and FINRA Rules
Partner with firm leadership to help shape and refine the firm’s MA, BD, and RIA compliance service offerings
Support business development through subject-matter expertise, including participation in prospect discussions, client meetings, and proposal development
Design, implement, and maintain RIA compliance programs in accordance with the Investment Advisors Act of 1940
Draft and update written supervisory procedures, surveillance programs, compliance manuals, policies, procedures, and codes of ethics tailored to client business models
Support clients through all phases of a FINRA or SEC examination
Build and maintain advanced knowledge of appropriate regulatory agency policies and procedures
Qualification
Required
Bachelor's Degree
10+ years of prior financial services (MA, BD, RIA or RIC) compliance or audit experience
Demonstrated ability to design, implement, and manage written supervisory procedures, surveillance programs, compliance manuals, policies, procedures, and codes of ethics
Strong knowledge and understanding of MSRB, FINRA, and SEC regulations as they pertain to Municipal Securities and other Fixed Income products
Experience serving as a primary point of contact for regulatory examinations
Proficiency in the Microsoft Office Suite including Excel, Word, PowerPoint, and Outlook
Highly organized, adaptable, and motivated while bringing a positive attitude to solve difficult problems
Comfortable working in a small, entrepreneurial firm setting
Preferred
Familiarity with Municipal Advisors (MA) is a plus
Experience in dealing with cybersecurity programs and vendor management a plus
Experience leading a team
Company
Alternative Regulatory Solutions, LLC
Alternative Regulatory Solutions, LLC (ARS) is a compliance consulting firm providing expert regulatory services to Municipal Advisors, Broker-Dealers, Bank Dealers, and RIA's.
2-10 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase