Head of RIA Compliance

Head of RIA Compliance About the Company Top-tier financial services firm focused on asset management and compliance. Industry Financial Services Type Privately Held About the Role The Company is seeking a Head of RIA Compliance to lead and oversee the compliance function, ensuring that the firm adheres to all regulatory standards and industry best practices. The successful candidate will be responsible for developing and executing compliance strategies that align with the organization's goals and regulatory requirements. This role involves acting as a strategic advisor to leadership, managing regulatory filings and disclosures, and serving as the primary liaison with regulatory authorities. The Head of RIA Compliance will also be tasked with designing and implementing comprehensive compliance programs, maintaining essential regulatory documents, and leading compliance monitoring activities to proactively identify and mitigate risks. Applicants for the Head of RIA Compliance position at the company must have a Bachelor of Science degree, with advanced degrees or certifications preferred, and a minimum of 10 years' experience in compliance within financial services. Extensive knowledge of the Investment Advisers Act of 1940 and related regulations is essential, as is prior experience in a senior compliance role for a registered investment adviser. The role requires strong analytical, organizational, and communication skills, as well as the ability to collaborate effectively with leadership and cross-functional teams. The ideal candidate will have a proven track record in developing and managing compliance manuals, policies, and procedures, and must be willing to work in a hybrid arrangement with an on-site presence as required. Travel Percent Less than 10% Functions Finance