More jobs:
Broker-Dealer
Job in
Phoenix, Maricopa County, Arizona, 85003, USA
Listed on 2026-03-04
Listing for:
Confidential Careers
Full Time
position Listed on 2026-03-04
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, CFO
Job Description & How to Apply Below
Seeking an experienced Principal, Broker-Dealer to lead broker-dealer operations with a focus on private placement insurance and group annuity products. This role will be responsible for regulatory oversight, risk management, distribution relationships, and financial compliance. The ideal candidate brings deep expertise in institutional insurance markets, broker-dealer operations, and securities regulation—along with strong judgment and ethical leadership.
Key Responsibilities- Oversee broker-dealer distribution relationships and execute selling and commission agreements
- Maintain and manage insurance carrier partnerships and related distribution agreements
- Lead regulatory compliance with FINRA, SEC, state insurance departments, and AML requirements
- Oversee financial reporting, FOCUS filings, net capital calculations, and audits
- Manage licensing and registrations (BD, , U4, U5)
- Supervise books and records, supervisory procedures, and compliance documentation
- Serve as FINRA Gateway Super Account Administrator
- Partner with executive leadership on new products and strategic initiatives
- Bachelor’s degree in Business, Finance, Law, or related field
- Active Series 24, 7, and 63 licenses required (Series 79 or to be obtained)
- 7–10 years of broker-dealer experience;
Principal experience preferred - Strong knowledge of SEC and FINRA regulations
- Experience in insurance and/or investment banking preferred
- Exceptional writing, analytical, and communication skills
- Proven leadership and compliance management experience
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