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Director of Broker Dealer Compliance

Director of Broker Dealer Compliance

Peachtree GroupAtlanta, GA, US
17 hours ago
Job type
  • Full-time
Job description

Director Of Broker Dealer Compliance

Peachtree PC Investors is the managing broker dealer for Peachtree Group, a leading commercial real estate investment management firm with over $5.6 billion in AUM. As Director of Compliance, you will play a key role in developing and executing the firm's supervisory controls and regulatory program. This will involve working with the Legal team and different business units to evaluate the effectiveness of existing compliance controls and implement process improvements.

Role and Responsibilities :

  • Monitor and interpret securities regulations, including those established by the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and other relevant regulatory bodies, ensuring that the firm's activities and operations align with these regulations.
  • Develop, maintain and enforce the firm's Written Supervisory Procedures to keep the firm's business in compliance with applicable laws and regulations.
  • Oversee all regulatory filings for the broker-dealer, its registered representatives and private investment offerings.
  • Monitor and ensure compliance with AML / KYC requirements including surveillance and investigations.
  • Collaborate with the sales and marketing team to review and approve advertising / marketing materials and submit with FINRA as applicable.
  • Responsible for testing supervisory procedures / controls in accordance with FINRA Rule 3120.
  • Conduct Branch Audit Inspections.
  • Recognize and address continuous regulatory shifts, guarantee the execution of necessary policies / procedures, and provide suitable operational and compliance supervision.
  • Assist the President of PPCI and Peachtree Group's General Counsel with contract reviews and conducting third-party and vendor due diligence.
  • Other assigned duties as necessary.

Qualifications :

  • Bachelor's degree in related field.
  • 7+ years' experience industry experience.
  • FINRA Series 7 and Series 24.
  • Experience with FINRA Gateway and CRD Systems.

    • Preferred Skills :

  • Experience with alternative investments, specifically private real estate funds, is highly desirable.
  • Excellent communication and presentation skills to effectively interact with internal stakeholders and external partners.
  • Leadership skills with the ability to motivate and guide a team toward achieving strategic objectives.
  • Ability to thrive in a fast-paced, dynamic environment and handle multiple projects simultaneously.
  • High level of proficiency with Microsoft Office, particularly Microsoft Excel and PowerPoint
  • Impeccable integrity and trustworthiness.
  • Highly motivated, team player, collaborative approach with business partners at all levels of the organization.
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    Director Of Compliance • Atlanta, GA, US