Director of Compliance
A growing organization is seeking a senior compliance professional to help expand its services within the registered investment adviser and wealth management space. This individual will play a key role in advising clients, shaping strategic initiatives, supporting business growth, and helping develop scalable solutions for a broad range of compliance needs.
This position is well suited for a compliance leader who enjoys balancing client engagement, practice development, and team leadership within an entrepreneurial environment.
Responsibilities
- Develop and maintain relationships with clients, industry professionals, and strategic partners.
- Monitor regulatory and industry developments affecting investment advisers and provide practical guidance on emerging compliance considerations.
- Partner with organizational leadership on strategic initiatives, service enhancements, and long-term business objectives.
- Advise clients on regulatory matters impacting investment advisers and wealth management firms.
- Support growth initiatives through relationship development, networking, and new business opportunities.
- Provide oversight and direction on complex compliance projects and client engagements.
- Help establish scalable processes, resources, and methodologies to support client service delivery.
- Recruit, mentor, and develop compliance professionals as the team expands.
- Assist clients with examination preparedness, regulatory matters, and ongoing compliance program administration.
- Review client deliverables to promote consistency, accuracy, and quality.
Requirements
- Extensive experience supporting registered investment advisers, wealth management firms, or related financial services organizations.
- Demonstrated success leading, expanding, or enhancing a compliance program, advisory practice, or business function.
- Strong working knowledge of the Investment Advisers Act and related regulatory obligations.
- Experience interacting with regulatory agencies, examinations, audits, or compliance reviews.
- Ability to cultivate and maintain strong relationships with clients, business partners, and stakeholders.
- Experience contributing to business development, practice growth, client acquisition, or revenue-generating initiatives.
- Strong communication, leadership, and strategic thinking skills.
- Comfortable balancing leadership responsibilities with direct involvement in client matters.
- Prior experience in a senior compliance leadership role, regulatory environment, consulting practice, or advisory setting is highly preferred.
The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.
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