Director, Regulatory Advisory Compliance
Core
Lead a team within the Compliance & Risk Management organization to provide regulatory guidance and independent oversight across the firm's client-facing investment advisory business and advice offerings.
Role type
Director, Investment Advisory Compliance
Builds
Regulatory guidance, policies, controls, supervision, training, and governance for investment advisory products and emerging wealth capabilities.
Domain
Asset Management / Investment Advisory Compliance
Required skills
Investment Advisers Act of 1940 expertise, SEC regulations knowledge, Form ADV filing experience, advisory business model understanding, regulatory document drafting, cross-entity risk assessment, team leadership, stakeholder alignment
Preferred skills
People leadership experience, broker-dealer business support, multi-entity financial services organization experience, examination/investigation support, advanced compliance designations
Technologies
Form ADV, advisory agreements, client disclosures, policies and procedures, governance materials
Responsibilities
Lead and develop a team of Compliance professionals; Provide regulatory guidance throughout the lifecycle of advice offerings; Assess interactions among registered investment advisers, broker-dealers, and third parties; Apply Investment Advisers Act requirements including fiduciary duty and conflicts of interest; Partner with assurance partners to review regulatory documents; Advise on compliance-program governance and risk assessments; Assess emerging advisory and wealth capabilities; Support regulatory due diligence and oversight of material third parties; Lead complex cross-functional regulatory initiatives.
Seniority
Director, hands-on IC with team leadership