Director Of Compliance

Director of Compliance Overview

• As Director of Compliance, lead marketing compliance efforts for a dynamic financial services firm.
• Ensure adherence to regulatory standards, including the Investment Advisers Act of 1940 and SEC Marketing Rule.
• Develop scalable compliance workflows, documentation standards, and supervisory procedures.
• Collaborate with teams to provide strategic compliance guidance for marketing and business initiatives.
• Enjoy exceptional benefits including unlimited PTO, free healthcare, and a 401k match.
• Contribute to a firm with a 97% retention rate and a paid sabbatical program.
• Work in a hybrid environment, combining remote flexibility with onsite collaboration.
• Be part of a team managing $10B+ in assets for high-net-worth clients.

Director of Compliance Key Responsibilities & Duties

• Oversee the Advertising & Marketing Rule compliance program, ensuring regulatory adherence.
• Review and approve marketing materials, websites, social media, and external communications.
• Provide compliance guidance for new business initiatives and expansion efforts.
• Develop and maintain effective review workflows and documentation standards.
• Train and onboard team members, fostering compliance expertise within the organization.
• Maintain strong knowledge of regulatory requirements and contribute to broader compliance initiatives.
• Identify risks and trends, recommending appropriate mitigation strategies.
• Collaborate with advisors and staff to ensure compliance across all client-facing communications.

Director of Compliance Job Requirements

• Bachelor’s degree in a relevant field, such as finance or business administration.
• 5-7+ years of compliance experience within a regulated financial services environment.
• Thorough understanding of the Investment Advisers Act of 1940 and SEC Marketing Rule.
• Proven ability to review and approve marketing and client-facing communications.
• Experience developing compliance policies, procedures, and documentation standards.
• Strong analytical skills to interpret regulations and assess compliance risks.
• Excellent communication skills to provide practical guidance to business partners.
• Familiarity with private funds, performance advertising, and regulatory filings.