Compliance Director
Compliance Director
Philadelphia, PA | Onsite
$160,000-$200,000 Base Salary
A growing financial services compliance consulting firm is looking to add an experienced Compliance Director to its team. This individual will work directly with broker-dealers, registered investment advisers, asset managers, and other financial services organizations, helping clients navigate regulatory requirements and maintain effective compliance programs.
This is a highly client-facing position for someone who combines strong technical compliance knowledge with the ability to build relationships, manage multiple engagements, and provide practical regulatory guidance.
What You'll Be Doing
- Serve as a senior compliance advisor to a portfolio of financial services clients
- Work with broker-dealers, RIAs, asset managers, private funds, and other regulated financial institutions
- Provide guidance on SEC, FINRA, and investment adviser regulatory requirements
- Assist clients with developing, reviewing, and maintaining compliance policies and procedures
- Conduct compliance reviews, testing, risk assessments, and ongoing monitoring
- Support regulatory filings and annual compliance reviews
- Advise clients on areas including marketing and advertising, supervisory procedures, Code of Ethics, conflicts of interest, personal trading, and disclosures
- Assist clients through regulatory examinations and other compliance matters
- Monitor regulatory developments and help clients understand their impact on their businesses
- Develop strong relationships with senior compliance, legal, and business stakeholders
- Provide guidance and mentorship to junior members of the consulting team
What They're Looking For
- 8+ years of financial services compliance experience
- Strong knowledge of the regulatory environment impacting broker-dealers and/or registered investment advisers
- Experience working with broker-dealers, RIAs, asset managers, private funds, or similar financial services organizations
- Familiarity with SEC and FINRA regulations
- Previous compliance consulting, outsourced compliance, or client-facing experience is a strong plus
- FINRA Series 7, 24, and/or 63 is a plus
- Ability to independently manage multiple client engagements and priorities
- Strong communication and relationship-management skills
- Comfortable advising senior-level compliance, legal, and business professionals
- Ability to translate complex regulatory requirements into practical solutions for clients
FAQs
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