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