Director of Compliance

Director of Compliance

Hybrid Schedule

$150,000 – $180,000 Base

Our client, a well-established financial services organization, is seeking a Director of Compliance to play a key role in overseeing and enhancing its compliance program. This position offers significant visibility across senior leadership and the opportunity to contribute meaningfully to the firm’s regulatory strategy and risk management framework.

Key Responsibilities:

• Lead the development, implementation, and ongoing oversight of the firm’s compliance program
• Ensure adherence to applicable regulatory requirements, including the Investment Advisers Act of 1940 and related SEC rules
• Provide strategic guidance to senior leadership on compliance risks, regulatory developments, and business initiatives
• Oversee compliance monitoring, testing, and risk assessment activities to identify and address potential gaps
• Maintain and enhance policies, procedures, and internal controls in alignment with evolving regulatory expectations
• Support regulatory filings and interface with regulators, auditors, and external stakeholders as needed

Qualifications:

• 5+ years of compliance experience within a registered investment adviser, asset manager, or similar financial services environment
• Strong working knowledge of the Investment Advisers Act of 1940 and broader SEC regulatory framework
• Demonstrated ability to operate at both a strategic and executional level
• Excellent communication and stakeholder management skills, with experience advising senior leaders
• Highly organized, detail-oriented, and able to manage multiple priorities in a dynamic environment

Additional Information:

Personal Time Off (PTO) is offered on an accrual basis up to 184 hours a year, 13 Paid Holidays, and up to 6 weeks of Paid Parental Leave. PTO and holiday hours are prorated based on hire date within the calendar year.

Paid Sick Leave

Benefit offerings for full-time employment include medical, dental, vision, term life and AD&D insurance, short-term and long-term disability, additional voluntary benefits, commuter benefits, wellness plans, and a 401k plan

Annual discretionary bonus based on individual performance

Equal Opportunity Employer/Veterans/Disabled

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The Company will consider qualified applicants with arrest and conviction records in accordance with federal, state, and local laws and/or security clearance requirements, including, as applicable:

• The California Fair Chance Act

• Los Angeles City Fair Chance Ordinance

• Los Angeles County Fair Chance Ordinance for Employers

• San Francisco Fair Chance Ordinance