Partner with the VP of Compliance, senior leaders, and front-office executives to implement the compliance framework for EPW and EWS
Serve as the primary compliance contact for advice delivery, supervision, and client conduct matters
Provide expert interpretation and guidance on SEC, FINRA, and DOL regulations, including Regulation Best Interest and the Investment Advisers Act of 1940
Advise business leaders on regulatory impacts of major initiatives and recommend risk-based solutions
Define and manage compliance initiatives supporting advice, distribution, and supervision functions
Coordinate across business and control partners to implement new or evolving regulatory requirements
Track open compliance issues to ensure timely resolution and escalation as needed
Communicate emerging risks, trends, and program updates to senior management and key stakeholders
Develop and maintain compliance policies, procedures, and governance frameworks for front-office activities
Represent Compliance on committees and working groups related to client advice, supervision, and service

Bachelor’s degree or equivalent experience (advanced degree preferred)
10+ years of compliance experience within broker-dealer and investment advisory environments
FINRA Series 7 and 65 (or 7 and 66) plus 9/10 or 24 required, or ability to obtain within corporate timelines.
FINRA fingerprinting required
Proven experience leading compliance programs or advisory functions at a senior level
Deep understanding of SEC, FINRA, and DOL regulations and enforcement trends
Strong knowledge of advice delivery, supervision, and client interaction frameworks

Medical, dental, vision and life insurance
Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup
Tuition reimbursement up to $5,250/year
Business-casual environment that includes the option to wear jeans
Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year
Paid volunteer time — 16 hours per calendar year
Leave of absence programs – including paid parental leave, paid short
and long-term disability, and Family and Medical Leave (FMLA)
Business Resource Groups (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.

Senior Director, Front Office Advice & Guidance

Key skills