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Managing Director, MA/BD/RIA Compliance
Job in
Roseland, Essex County, New Jersey, 07068, USA
Listed on 2026-03-01
Listing for:
Alternative Regulatory Solutions, LLC
Full Time
position Listed on 2026-03-01
Job specializations:
-
Management
Regulatory Compliance Specialist
Job Description & How to Apply Below
A national financial services advisory firm is seeking a Managing Director to oversee compliance programs for Municipal Advisors, BD, and RIA clients. This role requires at least 10 years of experience in financial services compliance, strong knowledge of MSRB, FINRA, and SEC regulations, and the ability to lead teams effectively. The ideal candidate will manage client relationships, develop compliance policies, and contribute to business development.
Candidates should possess a Bachelor's Degree and proficiency in Microsoft Office Suite.
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