Head of Broker Dealer Compliance

<div class="content-intro"><p><span style="font-family: helvetica, arial, sans-serif;"><strong><span style="font-size: 14pt;">About Us</span></strong></span></p> <p><span style="font-family: helvetica, arial, sans-serif;">DriveWealth is on a mission to make investing easier. We believe that everyone should have the ability to control their financial future, and that access to financial markets should not be limited by geography, wealth, or legacy systems. We are a global B2B financial technology organization dedicated to democratizing access to financial independence around the world. Our mission is realized through an API-based platform, empowering our partners to offer seamless investing and trading experiences to clients worldwide, all from their mobile devices. Our technology provides partners with a modern, extensible toolkit, enabling traditional investment workflows and innovative techniques like fractional share ownership. DriveWealth has evolved into a global platform offering trading of US equities, mutual funds, ETFs, fixed income, and options.</span></p> <p><span style="font-family: helvetica, arial, sans-serif;">There’s never been a better time to build a category-defining business and there has rarely been a team better positioned for this opportunity. Our culture blends the pace and agility of a fintech start-up with the impact, stability, and discipline of Wall Street. We encourage creativity and experimentation while ensuring institutional-grade execution and regulatory compliance in everything we do. Join us and help build the future of global investing!</span></p></div><p><strong>DriveWealth LLC</strong> is seeking a highly motivated and seasoned Broker Dealer Compliance leader in either our New York or Chicago office to support our multi-asset, fast-paced trading and clearing services environment. Reporting to the Chief Compliance Officer, you will lead initiatives to strengthen the firm’s Level 2 compliance program across various product lines and markets.</p> <p>In this leadership role, you will provide expert guidance on complex regulatory matters including equities, options, trade reporting, margin requirements (FINRA Rule 4210), fully paid securities lending (FPSL) and other regulatory reporting areas. You will be responsible for the direct supervision of compliance staff while shaping firm-wide controls within an innovative and entrepreneurial culture.</p> <p> </p> <h3><strong>What You’ll Do</strong></h3> <p><strong>Team Leadership & Supervision</strong></p> <ul> <li><strong>Direct Management</strong>: Supervise a team of compliance professionals, overseeing their daily activities, investigations, and professional development.</