Compliance Director

Philadelphia, PA | Onsite

About the role

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.

Responsibilities

• 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

Requirements

• 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

Pay

$160,000-$200,000 Base Salary