Senior Director Personal Trading & Compliance

About the role

This role will provide business-aligned guidance focused on governance, compliance, and operational risk management. You will partner with leaders, compliance stakeholders, and cross-functional teams to translate complex issues into practical recommendations. The position offers the opportunity to strengthen responsible execution, improve decision-making, and support sustainable growth within a regulated financial services environment.

Responsibilities

• Lead Personal Trading and Code of Ethics program operations
• Act as the deputy to the VP, Compliance for governance initiatives
• Oversee enterprise compliance risk assessments and monitoring
• Develop a risk assessment framework to support compliance activities
• Manage and develop a team of compliance professionals
• Collaborate with leaders on regulatory guidance and conflicts of interest
• Lead regulatory examinations and internal audits, coordinating responses

Qualifications

• Bachelor's degree or equivalent experience required; Juris Doctor preferred
• 10+ years of progressive compliance experience in investment adviser's regulation
• 5+ years of experience in people leadership and team development
• In-depth knowledge of multiple regulatory acts and FINRA rules
• Substantial experience with personal trading, Code of Ethics, and compliance program oversight
• Exceptional communication skills with senior leadership influence
• FINRA Series 65 or 66 required

Location

Remote - US based candidates only, no visa sponsorship available

Pay

$151,800 – $220,050 annually

Benefits

• Comprehensive medical, dental, vision and life insurance
• Generous 401(k) plan with matching contributions and financial advisory services
• Tuition reimbursement up to $5,250 annually
• Flexible business-casual dress code including jeans
• Significant paid time off and floating holidays
• Paid volunteer time—16 hours per year
• Parental leave and other leave of absence programs