Head of Compliance and Legal

The Head of Compliance and Legal will oversee a nimble, action-oriented team that has overall responsibility for the Firm’s compliance programs and handle a variety of corporate legal matters. On the compliance side, this person will have responsibility for all aspects of a robust broker-dealer program, including developing policies and procedures, communicating all regulatory changes, and training, testing and assessments. On the legal side, this person will need to use their best judgement to prioritize legal needs, reviewing and approving more routine contracts themselves/in house and building a strong network of partnerships with outside counsel for more complex matters.  Must have extensive broker-dealer experience and possess an in-depth understanding of FINRA and SEC rules, including investment advisors under the Investment Advisers Act of 1940 and similar state statutes.

To apply for this job please visit www.castleoaklp.com.

CastleOak Securities