Compliance Advisor

What You’ll Do

• Assist compliance leadership in operating a comprehensive compliance program consisting of policies, procedures, and consultative guidance to business partners.
• Evaluate situations and provide strategic guidance to compliance with leadership and business partners on complex legal, regulatory, and compliance issues.
• Act as a subject‑matter expert for mutual fund, ETF, private fund, variable insurance, group annuity products and related securities laws and regulations.
• Conduct comprehensive research, analysis, and guidance on laws, regulations, and other complex compliance matters.
• Mitigate risk and design solutions to meet regulatory and business requirements.
• Assist in preparing for and responding to regulatory exams and other inquiries.
• Participate on special projects critical to business unit and corporate growth initiatives.
• Leverage data to provide in‑depth analysis and reporting to guide decision‑making processes.
• Mentor and coach less experienced compliance professionals.
• Build and sustain strong relationships with colleagues throughout the enterprise.
• Perform other job‑related duties or special projects as required.

• 6+ years of related experience (mutual fund and/or insurance carrier broker‑dealer compliance experience preferred).
• Bachelor’s degree, JD, or MBA considered in lieu of experience.
• Excellent written and oral communication skills.
• Advanced analytical, problem‑solving, and organizational abilities.
• High level of creativity and resourcefulness.
• Experience in assessing and implementing process improvements.
• Mentoring and coaching experience.
• Demonstrated application of risk management frameworks and concepts.
• Expert knowledge and experience with mutual fund, ETF, private fund, variable insurance and/or group annuity products and services, and related securities laws and regulations.
• Deep understanding of fund complex, insurance carrier and/or retirement record keeping business operations.
• Good order for FINRA representative and principal registrations preferred.

• Salary ranges: $104,400 – $150,000 / year (location dependent).
• Eligibility for bonus program and incentives for certain positions.
• Time Off Program:
  Flexible Time Off for salaried employees.
• Employees are eligible for pension.
• Work arrangements: in‑office, hybrid, or remote depending on location.
• Applicants must have U.S. work authorization; no sponsorship is provided.
• Investment Code of Ethics applies to all employees.
• Principal is an Equal Opportunity Employer. All qualified applicants will be considered without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.