Compliance Director

IAMS Wealth Management is an SEC-Registered Investment Advisor (RIA) providing full-service back‑office and investment platform solutions to independent advisors across the United States. As our firm continues to grow, maintaining a strong, scalable compliance culture is a top priority.

I am seeking a Compliance Director to support our Chief Compliance Officer (CCO) in the ongoing development, implementation, and oversight of our compliance program. This role is ideal for a detail‑oriented compliance professional with direct RIA experience who enjoys working closely with advisors, balancing regulations with practical business solutions.

The Compliance Director will play a hands‑on role in day‑to‑day compliance operations while helping evolve IAMS Wealth Management’s policies, procedures, and supervisory framework. This individual will work closely with advisors, internal teams, and leadership to ensure regulatory requirements are met in a thoughtful, efficient, and consistent manner.

• Oversee branch office advisors to ensure adherence to SEC and firm compliance standards
• Review and approve advisor marketing materials and client communications for regulatory compliance
• Vet, monitor, and archive advisor communications in accordance with regulatory record‑keeping requirements
• Ensure accurate completion, submission, and retention of required regulatory and firm documentation
• Conduct periodic spot checks and testing of compliance processes and supervisory controls
• Assist in the development, maintenance, and enhancement of compliance policies, procedures, and guidelines
• Support ongoing risk assessments, internal reviews, and regulatory examinations
• Collaborate with operations, trading, marketing, and leadership teams to identify and resolve compliance issues
• Participate in special compliance‑related projects and initiatives as the firm continues to scale

• Bachelor’s degree in a relevant field (Business, Finance, Law, Compliance, or similar)
• 3+ years of direct RIA compliance experience (required)
• Series 65 license required (or willingness to obtain)
• Strong working knowledge of SEC regulations applicable to registered investment advisors
• Exceptional attention to detail with strong analytical and problem‑solving skills
• Proven ability to manage multiple priorities and deadlines in a fast‑paced environment
• Clear, professional written and verbal communication skills
• Ability to work independently while collaborating effectively across teams
• Proficiency in Microsoft Office (Word, Excel, PowerPoint); experience with compliance tech platforms is a plus

• Competitive salary and benefits package, including bonus potential
• Opportunity to work closely with firm leadership and influence compliance strategy as the firm grows
• Exposure to a broad, nationwide advisor base and diverse compliance scenarios
• Collaborative, entrepreneurial, and team‑oriented culture
• Long‑term professional growth opportunities within a scaling RIA platform