Director of Compliance – Outsourced Consulting Services

Position:Director of Compliance, Outsourced Consulting Services

Location: Remote

Job :2790

# of Openings:1

Position:
Director of Compliance, Outsourced Consulting Services

Department: AE Wealth Management Compliance

Reporting to: VP of Compliance, Outsourced Consulting Services

Location:

Topeka, KS/ Lenexa, KS - open to fully Remote for qualified candidates

Overview:

Are you an experienced RIA compliance professional who enjoys building relationships, developing solutions, and helping independent financial advisory firms navigate an evolving regulatory environment? Join Advisors Excel as our Director of Compliance, Outsourced Consulting Services.

In this role, you’ll help build and grow compliance consulting services for third-party Registered Investment Advisers (RIAs). You’ll work directly with advisory firms to develop effective compliance programs, provide regulatory guidance, and create solutions that support their business needs. You’ll also help investment adviser representatives (IARs) of our RIA who are looking to establish their own RIA firms, guiding them through the registration process and helping them build a strong compliance foundation.

This is an opportunity to play an important role in expanding our consulting services and shaping the future of this growing business.

What you’ll do:

• Lead the development and delivery of outsourced compliance consulting services for third-party RIAs.
• Provide expert guidance on developing, implementing, and administering compliance programs that meet applicable laws and regulations.
• Build strong relationships with RIA partners by delivering exceptional service, earning trust, and understanding their unique business needs.
• Provide guidance and support to investment adviser representatives (IARs) of our RIA who are establishing their own RIA firms, including assistance with the RIA registration process.
• Help develop resources, processes, and compliance support solutions that make it easier for IARs to launch and operate their own independent RIA firms.
• Partner with leadership and sales teams to identify prospective clients, present consulting solutions, and support business development efforts.
• Identify opportunities to expand consulting services by evaluating market trends, client needs, and new service offerings.
• Develop turnkey compliance solutions for policies, supervision, surveillance, and other investment adviser compliance functions.
• Serve as a trusted resource for clients and internal teams on regulatory requirements, compliance best practices, and industry developments.
• Collaborate with operations, legal, sales, senior leadership, and other key partners to promote a strong culture of compliance and ethical conduct.
• Identify potential compliance risks, recommend solutions, and escalate issues when appropriate.
• Stay current on regulatory changes and industry trends, evaluating their impact on client compliance programs and services.
• Help build and develop the compliance consulting team through hiring, coaching, mentoring, and performance management as the team grows.

• Minimum 10 years investment advisory compliance experience
• Prior RIA compliance consulting experience
• Previous leadership experience; ability to manage, motivate, grow team members and influence others cross-functional teams
• Experience developing, launching, or expanding compliance consulting services
• Business development experience, including engaging prospective clients, presenting solutions, and communicating complex compliance concepts in an approachable way
• Strong understanding of investment adviser regulations and the ability to interpret and communicate regulatory guidance
• Excellent organization, communication, and relationship-building skills, with the ability to…