Director, Senior Compliance

Director, Senior Compliance

Cresset is a firm built by clients, for clients. As an independent, award-winning multi-family office and private investment firm, we are reimagining the way wealth is experienced. Our purpose is to help ensure that both wealth and life are fully optimized—integrated, intentional, and aligned with each client's vision of success.

We provide access to the caliber of talent, ideas, and investment opportunities typically available to the largest single-family offices and institutions. Our approach is personalized, entrepreneurial, and client-first.

Proudly owned by our clients and employees, Cresset was built to endure. We are creating a 100+ year firm—one focused on delivering an exceptional experience, not only for the families we serve but for the team that serves them. Recognized by Barron's and Forbes among the nation's top RIA firms, and as one of the industry's best places to work, Cresset is guided by long-term relationships, shared success, and a belief that wealth should serve a life well lived.

Job Description

Cresset is seeking an experienced Senior Compliance to provide leadership across its private fund and wealth advisory compliance program. This role is designed as a senior leadership position with direct reports and broad responsibility for team guidance, escalation management, business partnership and regulatory judgment.

The Senior Role will serve as a trusted adviser to Compliance colleagues and business leaders, provide clear and practical guidance on complex or recurring matters, and act as a senior escalation point before issues are elevated to the Chief Compliance Officer. The role will also provide substantive oversight and backup coverage for marketing review involving both wealth advisory and private fund activities.

Key Responsibilities

• Lead, coach, and develop Compliance team members by establishing clear priorities, accountability, decision rights, and performance expectations, while providing regulatory guidance and mentorship.
• Build a high-performing, self-sufficient team by delegating meaningful responsibility, strengthening independent judgment, identifying resource and training needs, and reducing key-person dependencies.
• Promote consistent, timely, and well-supported compliance decisions, communications, and documentation across the Compliance function.
• Serve as the senior escalation point for complex, sensitive, cross-functional, and judgment-intensive compliance matters.
• Build trusted partnerships across the business by delivering practical, solutions-oriented compliance advice that enables business objectives while maintaining regulatory compliance and fiduciary standards.

Marketing and Advertising Review

• Provide senior oversight and substantive review of marketing and advertising materials for both wealth advisory and private fund business.
• Serve as the firm's senior compliance resource for marketing and advertising matters, with deep expertise in the SEC Marketing Rule and extensive experience supporting private fund materials and investor communications.
• Oversee the review of marketing and investor communications to ensure they are fair, balanced, and compliant with regulatory requirements and consistent with the firm's disclosures, offering documents, and business practices.
• Provide backup coverage to the existing private fund marketing review function and help maintain consistent review standards, templates, disclosures, checklists and escalation protocols.
• Identify recurring issues and deliver training to business teams.

Private Funds Compliance

• Own or provide senior oversight of private fund compliance guidance and related team responsibilities.
• Oversee or support private fund policies and procedures, Form ADV, Form PF and other regulatory filings, compliance testing and annual review.
• Support fund launches, annual review, testing, remediation, and strategic initiatives affecting private fund activities.

Wealth Advisory Compliance and Business Partnership

• Provide practical guidance regarding fiduciary duty, disclosures, conflicts, fees, performance reporting, referrals, affiliated services and client communications.
• Build trusted relationships…