Chief Compliance Officer (Manager II)

About the role

The Manager II serves as the Chief Compliance Officer for Popular’s Broker‑Dealer and Registered Investment Adviser businesses, providing independent oversight and guidance to senior management and the Board of Managers. This senior leader ensures compliance with federal and state securities laws, FINRA rules, the Investment Advisers Act, and internal policies.

Key responsibilities

• Lead and administer the firm’s Broker‑Dealer and Investment Adviser compliance programs, including policy development, implementation, and annual review.
• Maintain the Supervisory and Compliance Manual, oversee continuing education, and coordinate periodic reviews of offices, records, and personnel.
• Manage customer complaint intake, investigations, regulatory reporting, and serve as corporate representative in arbitration matters.
• Prepare and present compliance reports to senior management, the Board, and committees; manage relationships with FINRA, SEC, and state regulators.
• Oversee regulatory filings (Form BD, Form ADV, Form CRS, Form U4/U5, etc.) and approve marketing, communications, gifts, political contributions, and outside business activities.
• Support risk assessment, coordinate with legal, risk, audit, and parent‑company functions, and provide compliance oversight for investment banking activities.

Required profile

• Bachelor’s degree in Business Administration, Finance, Accounting, Law or related field; JD, master’s or advanced studies preferred.
• 7‑10 years of progressive experience as a Chief Compliance Officer or senior broker‑dealer compliance leader.
• Demonstrated experience with FINRA‑member broker‑dealers and SEC‑registered investment advisers, including regulatory examinations and Board reporting.
• Prior people‑management and departmental leadership experience.

Required skills

• FINRA Series 7 registration (maintained in good standing).
• FINRA Series 24 registration (maintained in good standing).
• Proficiency with Microsoft Office applications: Excel, PowerPoint, SharePoint, Word, Teams.