Sr Director, Compliance & Risk

There's power in partnership. Your passion. Our purpose. We can make an impact together. Join a team that empowers you to shape the future of client service. Everything we do is focused on helping clients achieve what's most important to them, all while giving you the opportunity to innovate, collaborate and grow. What you do every day helps people achieve and protect their financial goals.

You'll have access to cutting‑edge tools, continuous learning programs, mentorship from experienced leaders, and a culture that values every voice and idea.

Position

Schedule:

Full‑Time

This job posting is anticipated to remain open for 30 days, from 13-Feb-2026. The posting may close early due to the volume of applicants.

The Senior Director of Compliance and Legal Risk Management plays an important leadership role in safeguarding the integrity and reputation of the organization. This role is responsible for developing and overseeing compliance policies, regulatory initiatives, and risk management strategies that align with evolving regulatory expectations and business goals. This role leads the design and implementation of training programs that build compliance capabilities, promotes a strong culture of ethics and accountability and drives staff enablement across the enterprise.

By integrating strategic oversight with operational excellence, this leader ensures that compliance is embedded into the fabric of the organization’s decision making and risk posture.

• Develop and Oversee Compliance Risk Management Strategy
  • Lead the design and execution of an integrated risk management framework to proactively identify, assess, mitigate, and monitor compliance risks across the organization.
• Ensure Regulatory Compliance and Readiness
  • Monitor evolving regulatory requirements and implement initiatives to ensure the organization maintains full compliance with applicable laws and standards.
• Establish and Maintain Compliance Policies and Procedures
  • Create and update enterprise‑wide compliance policies that reflect current regulations and best practices.
• Cultivate a Strong Culture of Ethics and Integrity
  • Champion ethical behavior, transparency, and accountability through leadership and alignment with organizational values.
• Lead Compliance Training and Education Programs
  • Develop and deliver targeted training programs to equip staff with the knowledge and tools to uphold compliance responsibilities confidently and competently.
• Drive Cross‑Functional Collaboration
  • Partner with legal, risk audit, business units, HR, and senior leadership to embed compliance into core operations and strategic initiatives.
• Enable and Empower Compliance teams
  • Lead, mentor, and develop compliance associates to ensure high performance, strategic alignment, and professional growth.
• Establish and Maintain Lesson Learned Program
  • Analyze and report on material internal and external events with impacts to clients, markets or the firm for lessons learned to proactively enhance our controls framework.
• Monitor and Report on Compliance Performance
  • Develop key metrics and dashboards to measure compliance effectiveness and report regularly.
• Lead Change and Continuous Improvement Initiatives
  • Drive transformation efforts to modernize compliance programs, leveraging technology and innovation to increase agility and effectiveness.
• Knowledge of FINRA, SEC and state securities rule making frameworks and standards.
  • Expertise/understanding in compliance risk management principles, policy and training development, risk appetites and risk assessments, and compliance risk metrics and reporting.

Medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short‑ and long‑term disability, basic life, and basic AD&D coverage. Short‑ and long‑term disability, basic life, and basic AD&D coverage are provided at no cost to associates. 401k retirement plan, health savings account, and flexible spending account. Ten paid holidays and 15 days of vacation for new associates beginning on January 1 each year, as well as sick time, personal days, and a paid day for volunteerism.

Associa…