Peachtree Group · 23 hours ago
Director of Broker Dealer Compliance
Atlanta, GA
Full-time
Onsite
Director/Executive
7+ years expPeachtree Group is a leading commercial real estate investment management firm with over $5.6 billion in AUM. As Director of Compliance, you will develop and execute the firm’s supervisory controls and regulatory program, ensuring compliance with securities regulations and overseeing regulatory filings.
Commercial LendingCommercial Real EstateHospitalityReal EstateReal Estate Investment
Hiring Manager
Veronica G.
Responsibilities
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
Develop, maintain and enforce the firm's Written Supervisory Procedures to keep the firm’s business in compliance with applicable laws and regulations
Oversee all regulatory filings for the broker-dealer, its registered representatives and private investment offerings
Monitor and ensure compliance with AML/KYC requirements including surveillance and investigations
Collaborate with the sales and marketing team to review and approve advertising/marketing materials and submit with FINRA as applicable
Responsible for testing supervisory procedures/controls in accordance with FINRA Rule 3120
Conduct Branch Audit Inspections
Recognize and address continuous regulatory shifts, guarantee the execution of necessary policies/procedures, and provide suitable operational and compliance supervision
Assist the President of PPCI and Peachtree Group’s General Counsel with contract reviews and conducting third-party and vendor due diligence
Other assigned duties as necessary
Qualification
Required
Bachelor's degree in related field
7+ years' experience industry experience
FINRA Series 7 and Series 24
Experience with FINRA Gateway and CRD Systems
Preferred
Experience with alternative investments, specifically private real estate funds, is highly desirable
Excellent communication and presentation skills to effectively interact with internal stakeholders and external partners
Leadership skills with the ability to motivate and guide a team toward achieving strategic objectives
Ability to thrive in a fast-paced, dynamic environment and handle multiple projects simultaneously
High level of proficiency with Microsoft Office, particularly Microsoft Excel and PowerPoint
Impeccable integrity and trustworthiness
Highly motivated, team player, collaborative approach with business partners at all levels of the organization
Company
Peachtree Group
Peachtree Group is a hospitality investment and management company specializing in branded, limited-service, and extended-stay hotels.
1001-5000 employees
Funding
Current Stage
Late StageTotal Funding
$150M2024-01-29Debt Financing· $150M
Leadership Team
Greg Friedman
Co-Founder, Managing Principal, and Chief Executive Officer
Mitul Patel
Managing Principal
Recent News
Mergers & Acquisitions
2025-11-14
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