Director - IA Compliance Platform Administration, Disclosures & Regulatory Filings
Core
Director managing RIA Compliance Platform Administration, regulatory disclosures, and filings for broker-dealers and investment advisory firms.
Role type
Senior management compliance leader
Builds
Regulatory filings (Form ADV, 13F, 13G, etc.) and client-facing disclosure documents
Domain
Financial Services / Investment Advisers Act
Required skills
Investment Advisers Act of 1940 expertise, regulatory filing management, disclosure governance, vendor evaluation, cross-functional leadership, Microsoft Office proficiency
Preferred skills
Juris Doctor degree, IACCP certification, Series 7/24/65/66 licenses
Technologies
Excel, Outlook, Word, Copilot
Responsibilities
Manage RIA Compliance Analyst team, oversee Form ADV and other regulatory filings, maintain disclosure governance program, coordinate client-facing disclosure documents, monitor regulatory developments, conduct vendor evaluations
Seniority
Director, management