Director of Broker Dealer Compliance

Overview

Oversee broker‑dealer regulatory compliance, supervisory controls, and AML for a real‑estate firm.

Key Responsibilities

• contract review
• due diligence
• audit testing
• wsp development
• regulatory filings
• aml monitoring

Tasks

-Assist the President of PPCI and Peachtree Group’s General Counsel with contract reviews and conducting third-party and vendor due diligence. -Responsible for testing supervisory procedures/controls in accordance with FINRA Rule 3120. -Develop, maintain and enforce the firm's Written Supervisory Procedures to keep the firm’s business in compliance with applicable laws and regulations. -Conduct Branch Audit Inspections. -Collaborate with the sales and marketing team to review and approve advertising/marketing materials and submit with FINRA as applicable. -Oversee all regulatory filings for the broker-dealer, its registered representatives and private investment offerings. -Recognize and address continuous regulatory shifts, guarantee the execution of necessary policies/procedures, and provide suitable operational and compliance supervision. -Monitor and ensure compliance with AML/KYC requirements including surveillance and investigations. -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.

Requirements

• finra gateway
• crd systems
• series 7
• series 24
• excel
• powerpoint

What You Bring

-Leadership skills with the ability to motivate and guide a team toward achieving strategic objectives. -Experience with FINRA Gateway and CRD Systems. -Bachelor's degree in related field. -7+ years’ experience industry experience. -Excellent communication and presentation skills to effectively interact with internal stakeholders and external partners. -Ability to thrive in a fast-paced, dynamic environment and handle multiple projects simultaneously. -FINRA Series 7 and Series 24. -Experience with alternative investments, specifically private real estate funds, is highly desirable. -High level of proficiency with Microsoft Office, particularly Microsoft Excel and PowerPoint -Highly motivated, team player, collaborative approach with business partners at all levels of the organization.

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About Peachtree Group

-Specializes in both commercial and residential real estate, focusing on value creation and long-term asset growth. -Known for its hands-on approach to property management, development, and strategic investment. -Strong presence in real estate markets across the U.S., successfully managing numerous large-scale projects. -Portfolio spans various sectors, including multifamily, hospitality, office, and mixed-use developments. -Prides itself on identifying opportunities in underperforming assets and repositioning them for value appreciation. -Leadership team brings decades of experience in real estate, finance, and operations, driving continued growth and success. -Investment strategy combines deep market insights, creative problem solving, and operational expertise.

Sector Specialisms