Director, Compliance Consulting
Core
Lead delivery of expert compliance guidance to financial firms including RIAs, broker-dealers, and registered investment companies, serving as a trusted advisor to senior executives and boards.
Role type
Director, Compliance Consulting (Senior IC with leadership)
Builds
Strategic compliance programs, regulatory filings, and engagement teams for financial institutions
Domain
Financial Services / Regulatory Compliance
Deliverable
client delivery
Required skills
Investment Advisers Act of 1940 knowledge, FINRA rules knowledge, Investment Company Act of 1940 knowledge, regulatory filing expertise, client relationship management, business development, team leadership, compliance program development
Preferred skills
JD or MBA, CAMS certification, FINRA licenses, experience with registered funds or BDCs, experience advising CTAs/CPOs/FCMs
Technologies
Forms ADV, PF, BD, U4/U5, Rule 206(4)-7, Rule 3120/3130, Rule 38a-1
Responsibilities
Own senior-level client relationships as primary point of contact, provide strategic oversight of compliance programs, develop and implement tailored compliance programs, lead compliance program development and administration, advise clients on Advisers Act obligations, lead SEC and FINRA examinations and remediation efforts, drive business development, lead and mentor team members, contribute to thought leadership
Seniority
Director, strategic leadership and business growth