Head of Compliance, US
Skills
Sar FilingRegulatory ExaminationNfaConflicts Of InterestCftcFinraBroker-DealerCode Of EthicsStructuredFixed IncomeComplianceSec RegulationsWritten Supervisory ProceduresSecurities Exchange ActCustomer Identification ProgramStructured NotesDerivative-Linked SecuritiesEnhanced Due DiligenceSecKycAmlSanctions Screening
About the Role
You will design, implement, and oversee the full compliance program of QCP's US entity, which acts primarily as a distributor for QCP's products. You will serve as a General Securities Principal and be a key member of the U.S. management team, taking direct responsibility for regulatory compliance, supervisory systems, and regulatory engagement with FINRA, SEC, CFTC, and NFA. You will act as the designated Head of Compliance and FINRA Principal of the U.S. broker-dealer, oversee supervisory systems, review product and disclosure governance, and serve as the designated AML Compliance Officer overseeing financial crime and risk controls.
Requirements
- FINRA Series 7 – General Securities Representative
- FINRA Series 24 – General Securities Principal
- Series 66 – Uniform Combined State Law Exam strongly preferred
- Minimum 8–12 years of compliance or regulatory experience at broker-dealers, investment banks or structured products firms
- Demonstrated experience in drafting and maintaining WSPs, managing FINRA examinations, supporting or leading New Member Applications or material business expansions
- Experience with structured notes, fixed income, or derivative-linked securities with institutional or accredited investor distribution models
Responsibilities
- Act as the designated Head of Compliance and FINRA Principal of the U.S. broker-dealer
- Develop, implement, and maintain Written Supervisory Procedures (WSPs), Compliance Manual, Code of Ethics, and Conflicts of Interest policies
- Ensure compliance with the Securities Exchange Act of 1934, FINRA rules and guidance, and applicable state securities laws
- Oversee supervisory systems for registered representatives, sales and distribution activities, and communications with the public
- Review and approve offering memoranda and risk disclosures
- Review and approve marketing and investor communications
- Monitor product developments to ensure continued regulatory alignment
- Serve as the designated AML Compliance Officer
- Oversee Customer Identification Program (CIP)
- Oversee Enhanced Due Diligence (EDD) for institutional and crypto-related clients
- Oversee sanctions screening and escalation
- Oversee SAR monitoring and filing
- Act as primary point of contact with Federal and State regulators
Benefits
- Flexible working arrangement
- Casual and fun work environment