Managing Director of Compliance Services

Managing Director - Fixed Income & Advisory Compliance

Hybrid, NJ| National Compliance Consulting Platform

A growing, specialized compliance advisory firm serving the financial services sector is seeking a senior leader to oversee and expand its municipal and advisory compliance practice.

This organization partners with financial institutions across the country to provide outsourced regulatory infrastructure, strategic guidance, and hands‑on program execution. The firm is well established within the fixed income and municipal markets.

The Managing Director will act as a senior subject‑matter authority across municipal securities and investment advisory regulatory frameworks, while also contributing to firm strategy and practice expansion.

• Oversee compliance programs for municipal‑focused firms, broker‑dealers, and investment advisory businesses
• Provide senior-level interpretation of SEC and MSRB regulatory requirements and translate them into practical business solutions
• Build, enhance, and maintain supervisory and compliance frameworks tailored to client operations
• Guide firms through regulatory exams, inquiries, and ongoing oversight obligations
• Advise executive leadership teams on risk mitigation and regulatory strategy
• Contribute to thought leadership and help expand service offerings in response to market and regulatory developments
• Mentor junior compliance professionals and support internal practice development
• Participate in client‑facing discussions and strategic growth initiatives

• 10+ years of experience in financial services compliance, audit, or regulatory advisory
• Strong background in municipal securities and fixed income products
• Deep working knowledge of SEC and MSRB regulatory structures
• Experience building or overseeing compliance programs for RIAs and/or broker‑dealers
• Prior involvement managing regulatory examinations
• Ability to operate independently while managing multiple client relationships
• Leadership experience in either an in‑house or consulting environment
• Comfort working within a fast‑growing, entrepreneurial organization