Head Of Ria Compliance

Overview

• Lead the development and execution of compliance strategies for a warehouse lender, ensuring adherence to regulatory standards and industry best practices.
• Act as a strategic partner to executive leadership, providing expert guidance on compliance matters and structured credit transactions.
• Design, implement, and maintain compliance programs aligned with SEC regulations, including the Investment Advisers Act of 1940.
• Draft and manage annual compliance reports, regulatory filings, and disclosures, ensuring accuracy and timeliness.
• Serve as the primary liaison with regulatory bodies, fostering strong relationships and ensuring effective communication.
• Develop and oversee compliance manuals, policies, and procedures to support organizational integrity.
• Conduct annual compliance reviews and ongoing monitoring to identify and address potential risks.
• Collaborate with investment teams to ensure compliance integration within structured credit transactions.

Key Responsibilities & Duties

• Design and implement the firm's compliance program in accordance with regulatory requirements and industry standards.
• Draft and manage comprehensive compliance reports, including annual reviews and regulatory filings.
• Maintain and update Form ADV, disclosures, and other essential regulatory documents.
• Act as the principal compliance advisor for warehouse lending operations, ensuring regulatory adherence.
• Serve as the primary liaison with regulatory bodies, managing communications and fostering positive relationships.
• Develop and maintain compliance manuals, policies, and procedures to support organizational integrity.
• Lead compliance reviews and monitoring activities to identify and mitigate risks effectively.
• Collaborate with executives and investment teams to integrate compliance within structured credit transactions.

Job Requirements

• Bachelor of Science (BS) degree required; advanced degrees or certifications preferred.
• Minimum of 10 years of experience in RIA/private markets compliance, with 15 years preferred.
• Extensive knowledge of the Investment Advisers Act of 1940 and structured credit transactions.
• Prior experience as a Chief Compliance Officer or Deputy CCO for a registered investment adviser.
• Strong problem-solving, organizational, and communication skills, with attention to detail.
• Ability to collaborate effectively with executives and investment teams, demonstrating initiative and results orientation.
• Experience in developing and managing compliance manuals, policies, and procedures.
• Willingness to work on-site at least four days per week in a hybrid arrangement.