Responsibilities
- Set the strategic direction for assigned compliance functions while promoting a strong culture of compliance, ethical conduct, accountability, and proactive risk identification.
- Serve as a senior Compliance contact for regulators, auditors, examiners, internal control partners, business leaders, and management on significant regulatory and compliance matters.
- Lead, develop, coach, and assess compliance professionals, including setting priorities, allocating resources, providing technical guidance, and ensuring high-quality execution.
- Advise on complex compliance obligations, including conflicts of interest, fiduciary and best interest requirements, sales practices, advertising and marketing review, compensation practices, disclosures, and third-party oversight.
- Partner with Legal, Risk, Internal Audit, Operations, Supervision, Product, and Sales leadership on enterprise risk, control, training, and compliance program matters.
- Use data, technology, surveillance tools, metrics, and reporting to strengthen compliance monitoring, issue identification, management reporting, and program oversight.
- Oversee risk-based compliance monitoring, testing, assessments, control evaluations, regulatory change implementation, risk mitigation, remediation planning, policy development, and process improvements.
- Prepare and deliver compliance reporting for senior management, governance committees, boards, and other oversight forums.
- Lead or represent Compliance on complex projects, program enhancements, regulatory change initiatives, business transformation efforts, and enterprise initiatives.
Qualifications
- Bachelor's degree in business, finance, pre-law, or other relevant field, or equivalent education and experience.
- 12 years of regulatory compliance, securities, financial services, risk management, internal audit, testing, monitoring, or other relevant experience.
- Current FINRA Series 7 and 24 or Series 6 and 26
- Proven ability to lead teams and cross-functional stakeholders through regulatory change, transformation, control enhancements, remediation, and enterprise initiatives.
- Executive-level communication, influence, and judgment to advise senior leaders and translate complex regulatory risks into practical business recommendations.
Preferred Qualifications
- Senior-level leadership or oversight of dual-registrant broker-dealer/RIA compliance programs, including governance, supervisory controls, regulatory change, and program effectiveness.
- Expert knowledge of securities laws and compliance requirements, including Reg BI, fiduciary obligations, Form ADV, marketing rules, books and records, supervision, conflicts, and control frameworks.
- Broad product expertise across retirement solutions, managed accounts, mutual funds, annuities, advisory platforms, brokerage products, and related investment services.
- Advanced use of compliance systems, data, reporting, workflow tools, and Microsoft Office to support oversight, executive reporting, and program management.
Working Conditions
- Hybrid Office Environment
Compensation
- The Salary for this position generally ranges between $165,000 - $190,000 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.
- Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.
Applicants must possess legal authorization to work for our company in the U.S. without the need for immigration, sponsorship or otherwise serving as an employer of record for immigration employment purposes. At this time, this role is not eligible for immigration-related employment authorization sponsorship.
This is a hybrid position requiring three days in office per week in one of our hub locations. Relocation assistance will not be provided for this position.
This job description is not a contract of employment nor for any specific job responsibilities. The Company may change, add to, remove, or revoke the terms of this job description at its discretion. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.