Director – IA Compliance Platform Administration, Disclosures & Regulatory Filings

• Manage the team of RIA Compliance Analysts by providing leadership and support
• Serve as primary compliance owner for corporate RIA regulatory filings
• Ensure timely, accurate preparation, review, maintenance, and submission of required regulatory filings
• Oversee filing of Form ADV, Form 13F, Form 13G, Form 13H, Form N-PX, Form CRS, and other applicable filings and reports
• Maintain and administer the firm's regulatory disclosure governance program
• Coordinate drafting, review, and maintenance of Form ADV Part 2A brochures, Wrap Fee Program Brochures, Form CRS, Reg BI disclosures, and other client-facing disclosure documents
• Ensure consistency across advisory and broker-dealer disclosure documents, regulatory filings, policies, procedures, operational practices, and client mailings
• Monitor regulatory developments, business initiatives, and organizational changes affecting filing or disclosure requirements
• Conduct vendor evaluations and participate in product due diligence committees
• Represent the RIA Compliance Department in cross-functional initiatives and strategic projects
• Perform other duties as assigned

• At least 10 years of relevant work experience
• At least 10 years of increasing management responsibility in the securities industry, including broker-dealer and investment advisory experience
• Expertise in Investment Advisers Act of 1940
• General knowledge of other financial regulations
• Strong knowledge of RIA and industry regulation
• Prior experience within Compliance leadership preferred
• Ability to manage and effectively influence while providing advice and guidance
• Ability to independently identify and analyze compliance issues
• Ability to build consensus among managers and employees across departments
• Proven management and human relations skills
• Proficiency with Windows programs:
  Excel, Outlook, Word, Copilot
• Excellent oral and written communication skills
• Strong critical thinking and problem-solving skills
• Bachelor's Degree from accredited university required
• Advanced Degree such as Juris Doctor degree preferred
• IACCP certification preferred
• Series 7, 24, and 65/66 preferred

Demonstrates extensive expertise in RIA compliance management, regulatory filings, and leadership within the securities industry. Proficient in navigating complex regulatory environments and ensuring adherence to the Investment Advisers Act of 1940 and other financial regulations.

• RIA Compliance Management
• Regulatory Filings Expertise
• Investment Advisers Act of 1940
• Leadership in Compliance
• IACCP Certification

• Regulatory Filings
• Form ADV Preparation
• Form 13F Filing
• Form CRS Drafting
• Compliance Issue Analysis
• Vendor Evaluation
• Financial Regulation Knowledge
• Critical Thinking
• Problem-Solving

• Leadership
• Communication Skills
• Consensus Building
• Influencing Skills
• Human Relations Skills

• Bachelor's Degree
• Advanced Degree
• IACCP Certification
• Series 7
• Series 24
• Series 65/66

• RIA
• Broker-Dealer
• Investment Advisory
• Compliance Leadership
• Financial Regulations

• Excel
• Outlook
• Word
• Copilot