Director of Compliance Overview • As Director of Compliance, lead marketing compliance efforts for a dynamic financial services firm. • Ensure adherence to regulatory standards, including the Investment Advisers Act of 1940 and SEC Marketing Rule. • Develop scalable compliance workflows, documentation standards, and supervisory procedures. • Collaborate with teams to provide strategic compliance guidance for marketing and business initiatives. • Enjoy exceptional benefits including unlimited PTO, free healthcare, and a 401k match. • Contribute to a firm with a 97% retention rate and a paid sabbatical program. • Work in a hybrid environment, combining remote flexibility with onsite collaboration. • Be part of a team managing $10B+ in assets for high-net-worth clients. Director of Compliance Key Responsibilities & Duties • Oversee the Advertising & Marketing Rule compliance program, ensuring regulatory adherence. • Review and approve marketing materials, websites, social media, and external communications. • Provide compliance guidance for new business initiatives and expansion efforts. • Develop and maintain effective review workflows and documentation standards. • Train and onboard team members, fostering compliance expertise within the organization. • Maintain strong knowledge of regulatory requirements and contribute to broader compliance initiatives. • Identify risks and trends, recommending appropriate mitigation strategies. • Collaborate with advisors and staff to ensure compliance across all client-facing communications. Director of Compliance Job Requirements • Bachelor’s degree in a relevant field, such as finance or business administration. • 5-7+ years of compliance experience within a regulated financial services environment. • Thorough understanding of the Investment Advisers Act of 1940 and SEC Marketing Rule. • Proven ability to review and approve marketing and client-facing communications. • Experience developing compliance policies, procedures, and documentation standards. • Strong analytical skills to interpret regulations and assess compliance risks. • Excellent communication skills to provide practical guidance to business partners. • Familiarity with private funds, performance advertising, and regulatory filings.