Lead execution of core compliance processes and initiatives within assigned areas, ensuring efficiency, consistency, and scalability across the organization.
Maintain hands-on involvement in day-to-day compliance activities, providing practical guidance, issue resolution, and operational support as needed.
Partner closely with the Chief Compliance Officer and compliance leadership to streamline policies, procedures, and workflows, driving continuous process improvement.
Champion initiatives that reduce manual effort through enhanced documentation, technology solutions, and the adoption of digital compliance tools.
Support the implementation and adoption of new systems, tools, and workflows that strengthen a modern, effective, and scalable compliance function.
Manage and develop compliance associates through clear direction, ongoing feedback, and coaching, fostering a highly engaged and capable team.
Serve as a trusted compliance resource to internal stakeholders by translating regulatory requirements into clear, actionable, and business-practical guidance.
Provide compliance oversight for internal investment strategies, including review of processes, disclosures, controls, and regulatory filings to ensure accuracy and timeliness.

Bachelor’s degree and 8+ years of compliance experience in a large SEC-registered investment adviser or similar wealth management firm
Strong working knowledge of investment advisory regulations and compliance oversight
Experience improving compliance processes and leveraging technology to drive efficiency
Law degree (JD) and/or relevant compliance certifications (preferred)

Director, Compliance

Key skills