Assistant Director - Field Compliance & Business Support
Core
Drive strategic compliance programs for a Registered Investment Adviser and Broker Dealer, leading a practice group accountable for retail distribution support and regulatory adherence.
Role type
Senior IC compliance director (financial services)
Builds
Enterprise-wide compliance programs, policies, controls, and risk mitigation strategies for retail product distribution.
Domain
Financial services / Investment Advising / Broker Dealer / Retail Distribution
Required skills
Complex risk assessment, regulatory research and interpretation, data analysis for compliance, process redesign, team leadership, stakeholder management, policy development, change management.
Preferred skills
FINRA licensing, experience in dual registrant (RIA & BD) environments, deep knowledge of SEC/FINRA/state/federal laws, AML/KYC/GDPR regulations.
Technologies
Microsoft Office (Excel, PowerPoint, Word)
Responsibilities
Set compliance practice group direction and team goals; conduct complex risk assessments and lead oversight programs; analyze data to identify compliance trends and anomalies; research and interpret regulatory changes; develop and execute external communication strategies; design and implement enterprise-wide compliance policies; manage staff performance and development.
Seniority
Senior, hands-on IC with leadership responsibilities