Position Details

Salary $218K – $223K USD / year

Type Full-Time

Experience executive

Exp. Years 10+ years

Education Not specified

Category Legal & Compliance

About this role

This role involves leading enterprise-wide compliance programs for a rapidly growing financial services firm, ensuring adherence to regulations and developing scalable compliance strategies.

Key Responsibilities

Oversee compliance functions
Develop compliance frameworks
Partner with legal and legal counsel
Manage risk and regulatory adherence
Scale compliance programs

Technical Overview

Focus on regulatory frameworks, compliance management, risk mitigation, and legal oversight within a multi-entity financial environment.

Ideal Candidate

The ideal candidate is an experienced compliance executive with deep expertise in RIA regulations and enterprise compliance management. They possess strategic leadership skills and can develop scalable compliance frameworks across multiple financial service entities.

Must-Have Skills

Deep RIA regulatory expertiseExperience managing enterprise-wide compliancePartnering across wealthtaxinsurancelegalDeveloping compliance frameworks

Nice-to-Have Skills

Experience with AI and data-driven complianceExperience scaling compliance programs

Tools & Platforms

Regulatory frameworksCompliance management tools

Required Skills

Regulatory complianceRIA complianceLegal counselCompliance managementFinancial regulationsRisk managementRegulatory frameworks

Hard Skills

Regulatory complianceRIA complianceLegal and legal counselCompliance managementFinancial regulationsRisk managementRegulatory frameworks

Soft Skills

LeadershipStrategic thinkingCross-functional collaborationCommunicationProblem-solving

Certifications

Preferred

Certified Regulatory Compliance ManagerCAMS

Industry & Role

Industry Financial Services/Fintech

Job Function Legal & Compliance Management

Keywords for Your Resume

Regulatory complianceRIA complianceLegal counselCompliance managementFinancial regulationsRisk managementRegulatory frameworksEnterprise complianceCompliance strategyFinancial servicesData-driven complianceAI complianceLegal and legal counselCompliance leadershipRegulatory oversight

Deal Breakers

Lack of RIA regulatory expertise, No experience managing enterprise compliance, Inability to partner cross-functionally

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Chief Compliance Officer

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