Key Success Factors for the Role Candidates will be most successful if they bring:
- Deep Regulatory and Technical Expertise Success in this role requires a strong command of U.S. securities laws and regulatory frameworks applicable to investment advisory and broker-dealer activities.
- Extensive experience with BD and RIA regulatory frameworks, including SEC, FINRA, MSRB, and state securities requirements.
- Strong working knowledge of the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, related SEC and FINRA rules, supervisory structures, and industry best practices.
- Hands-on familiarity with retail brokerage, advisory platforms, annuity and alternative products, and prudent investor standards.
- Proven Leadership of Compliance Programs The role demands hands-on experience designing, implementing, and maintaining a comprehensive, risk-based compliance program for a regulated financial services entity. This includes ownership of annual compliance reviews (including Rule 206(4)-7 and 3120 testing), oversight of monitoring and surveillance, and continuous evolution of policies and procedures to reflect regulatory and business changes.
- Strong Risk Identification and MitigationJudgment The successful candidate will be effective at identifying, prioritizing, and addressing compliance and regulatory risk across a growing organization. This includes leading risk assessments, identifying trends, proposing pragmatic remediation strategies, and balancing regulatory requirements with commercial realities. Ability to diagnose emerging regulatory risks and implement proactive, technology-enabled oversight and testing mechanisms.
- Influence and Partnership with Senior Leadership The role requires comfort operating at the senior leadership level, including participation in governance committees and business meetings. Success depends on the ability to clearly communicate compliance expectations, provide strategic guidance, and influence outcomes without impeding business objectives.
- Operational Excellence and Systems Oversight An effective leader in this role will oversee the implementation, integration, and ongoing maintenance of compliance systems and controls, ensuring consistency across departments. This includes supervision of best-execution reviews, due diligence processes, branch examinations, marketing review, AML oversight, licensing and registration functions, and surveillance activities through delegated teams or functions.
- Training, Ethics, and Culture Stewardship Success requires ownership of compliance education and training programs, administration of the Code of Ethics, and consistent reinforcement of ethical standards.
- Fostering a culture of compliance while maintaining discretion, professionalism, and confidentiality.
- Executive-Level Communication and Judgment The role calls for excellent written, verbal, and interpersonal communication skills, including the ability to explain complex regulatory matters clearly and succinctly. Strong judgment, adaptability, and the ability to manage multiple priorities in time-sensitive situations are critical.
- Management Experience Building, coaching and managing compliance staff and partnering effectively across legal, risk, and business functions.
Securities Licenses and Credentials10+ years of broker dealer and investment adviser compliance experience
The role requires the following securities registrations:
At time of hire: Series 7, Series 24, and Series 63/Series 65 or Series 66
Licenses required within six months of hire if not already held: Series 4, 14, and 53
These licenses reflect the position's senior supervisory, advisory, and regulatory accountability across the compliance program.
Collaboration & Culture Fit• A "no-ego," team-oriented approach that builds trust across business units and with senior leadership.
• Adaptability in a fast-growing organization where regulatory demands and business priorities continue to evolve.
