Associate Director of Compliance

About the Role

The Compliance Director will play a key leadership role in ensuring the firm adheres to all applicable regulatory requirements, internal policies, and industry best practices. This individual will develop, manage, and oversee the firm’s compliance framework while fostering a culture of integrity and accountability. The Compliance Director will collaborate closely with senior leadership, client-facing teams, and operations to proactively identify risks, implement effective compliance programs, and support the firm’s business objectives.

The role offers a hybrid in-office and work from home flexibility.

• Monitor and interpret changes to laws, regulations, and industry guidelines relevant to investment advisory firms.
• Ensure compliance with U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and other applicable regulatory bodies.
• Oversee regulatory filings, including Form ADV, Form CRS, and other required disclosures.
• Design, implement, and enhance compliance policies and procedures.
• Conduct risk assessments and implement controls to mitigate potential compliance risks.
• Maintain and enforce the firm’s Code of Ethics.
• Develop and oversee testing, surveillance, and monitoring programs.
• Perform internal audits and compliance reviews to identify gaps and areas for improvement.
• Serve as a trusted advisor to senior leadership and employees on compliance matters.
• Develop and deliver compliance and ethics training programs.
• Investigate and resolve compliance-related incidents or breaches and implement corrective action plans.
• Maintain accurate compliance records, logs, and reporting systems.
• Prepare and present compliance reports to senior leadership and relevant committees.
• Conduct due diligence and oversee third-party vendors and business partners.

• 4–5 years of compliance experience in financial services, preferably within investment advisory firms or private wealth management.
• Deep knowledge of SEC regulations, including the Investment Advisers Act of 1940.
• Proven ability to design and implement effective compliance frameworks and controls.
• Experience managing regulatory examinations, audits, and inquiries.
• Ability to thrive in a fast-paced, ever-changing environment.
• Strong critical thinking skills with the ability to anticipate needs and proactively identify issues.
• Excellent written and verbal communication skills.
• High attention to detail with the ability to work quickly and accurately.
• Ability to work independently as well as collaboratively within a team environment.