Compliance Director

Our client, a growing RIA firm is seeking an experienced Compliance Director to lead and enhance its compliance program. This role is 5 days per week on-site in their office, in either Downtown Manhattan or Downtown Chicago with no flexibility on working schedule. Compensation is $170-180k base with a 20% target bonus. The successful candidate will oversee the firm's day-to-day compliance function, provide strategic regulatory guidance, and help foster a strong culture of compliance across the organization with the GC/CCO. Key Responsibilities Lead the firm's compliance program, ensuring adherence to applicable SEC, state, and other regulatory requirements. Maintain, review, and enhance compliance policies, procedures, and internal controls. Oversee the firm's annual compliance review and ongoing compliance testing and monitoring activities. Manage regulatory examinations, audits, and responses to regulatory inquiries. Provide compliance guidance on new business initiatives, products, acquisitions, and strategic projects. Oversee personal trading, gifts and entertainment, outside business activities, political contributions, and conflicts of interest. Review and approve marketing materials, client communications, and advertising in accordance with applicable regulations. Partner with legal, operations, technology, and investment teams to identify and mitigate regulatory risk. Deliver compliance training and education to employees across the organization. Monitor regulatory developments and implement changes to ensure continued compliance. Requirements 7+ years of compliance experience within investment management, wealth management, or a registered investment adviser. Strong knowledge of SEC regulations, the Investment Advisers Act of 1940, and industry best practices. Experience with compliance monitoring systems and regulatory reporting tools. Bachelor's degree required; advanced degree or relevant professional certifications are advantageous. #J-18808-Ljbffr Pinnacle Career Coaching