Director, Compliance

Job Description

The Director, Compliance is a hands-on leadership role focused on executing and improving components of the firm's compliance program within a fast-paced registered investment adviser. Working with the Chief Compliance Officer and other compliance leaders, this role emphasizes streamlining policies, improving workflows, and reducing manual effort while supporting ongoing process and technology initiatives.

Responsibilities

• 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.

Skills

• Deep expertise in retail wealth management compliance within a dynamic RIA environment

• Proven ability to prioritize and execute effectively in fast-paced, high-growth organizations

• Process- and technology-driven mindset focused on automation, efficiency, and reducing operational friction

• Strong regulatory judgment with the ability to translate rules into practical, scalable business solutions

• Collaborative, influential communicator who partners effectively across teams to deliver clear, actionable guidance

Qualifications

• 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)

We welcome your interest in being a part of our firm. We believe in giving associates progressive opportunities, actively nurturing professional growth and giving back to the community. We are dedicated to building a diverse culture where everyone has the support they need to achieve their career goals. We offer an innovative workplace and a culture that fosters camaraderie, teamwork and work-life balance.

EOE M/F/D/V

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About Us

Mariner is a privately held national financial services firm equipped with the experience to meet your modern wealth needs. Our advisors have access to in-house expertise covering everything from tax, estate, trust, and insurance to investment banking and valuation, so they can maximize time spent creating unified wealth plans with clients. By opening more windows of wealth, we can create opportunities to positively impact the lives of many.

With this purpose, we intend to raise the bar for the entire industry. Founded in 2006 with $300 million in assets under advisement, Mariner and its affiliates now advise on over $560 billion in assets as of 1/3/25. Figures include assets from Cardinal Investment Advisors, currently undergoing acquisition by Mariner Institutional and slated to operationally close by 3/31/2025. Learn more at  Mariner is committed to, and maintains, a drug-free workplace.

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About the Team

Our culture of belonging is our most valuable asset and what makes growth and innovation possible. Your unique abilities are a vital part of what makes us Mariner and we are committed to accelerating your access to excellence.