Director Of Compliance

Job Detail Experience Level Manager Degree Type Bachelor of Science (BS)
Employment Full Time Working Type Hybrid Job Reference Salary Type Annually Industry Wealth Management Selling Points Lead impactful compliance initiatives in a dynamic financial services firm. Enjoy exceptional benefits, including unlimited PTO and free healthcare. Collaborate with teams managing $10B+ in assets.

Job Description Director of Compliance Overview As Director of Compliance, lead marketing compliance efforts for a dynamic financial services firm.

Ensure adherence to regulatory standards, including the Investment Advisers Act of 1940 and SEC Marketing Rule.

Develop scalable compliance workflows, documentation standards, and supervisory procedures.

Collaborate with teams to provide strategic compliance guidance for marketing and business initiatives.

Enjoy exceptional benefits including unlimited PTO, free healthcare, and a 401k match.

Contribute to a firm with a 97% retention rate and a paid sabbatical program.

Work in a hybrid environment, combining remote flexibility with onsite  part of a team managing $10B+ in assets for high-net-worth clients.

Director of Compliance

Key Responsibilities & Duties Oversee the Advertising & Marketing Rule compliance program, ensuring regulatory adherence.

Review and approve marketing materials, websites, social media, and external communications.

Provide compliance guidance for new business initiatives and expansion efforts.

Develop and maintain effective review workflows and documentation standards.

Train and onboard team members, fostering compliance expertise within the organization.

Maintain strong knowledge of regulatory requirements and contribute to broader compliance initiatives.

Identify risks and trends, recommending appropriate mitigation strategies.

Collaborate with advisors and staff to ensure compliance across all client-facing communications.

Director of Compliance

Job Requirements Bachelor’s degree in a relevant field, such as finance or business administration.
5-7+ years of compliance experience within a regulated financial services environment.

Thorough understanding of the Investment Advisers Act of 1940 and SEC Marketing Rule.

Proven ability to review and approve marketing and client-facing communications.

Experience developing compliance policies, procedures, and documentation standards.

Strong analytical skills to interpret regulations and assess compliance risks.

Excellent communication skills to provide practical guidance to business partners.

Familiarity with private funds, performance advertising, and regulatory filings.