Compliance Director

Larson Maddox; Philadelphia (Philadelphia County); On-site; USD 160,000 - 200,000; Full time

Job summary

Larson Maddox is seeking an experienced Compliance Director in Philadelphia, onsite, offering a $160,000-$200,000 base salary. This role partners with broker-dealers, RIAs, asset managers, and other financial institutions to navigate regulatory requirements and maintain strong compliance programs.

The ideal candidate combines deep technical regulatory knowledge with client-facing consultative skills, manages multiple engagements, and provides practical guidance for complex regulatory matters and

Qualifications

• 8+ years of financial services compliance experience.
• Strong knowledge of SEC and FINRA regulations.
• Experience advising broker-dealers, RIAs, and asset managers.
• Ability to translate complex rules into practical guidance.
• Excellent communication and relationship-management skills.
• Prior client-facing consulting experience is a plus.

Responsibilities

• Serve as a senior compliance advisor to a portfolio of financial services clients.
• Lead compliance reviews, risk assessments, and ongoing monitoring.
• Support regulatory filings and annual compliance reviews.
• Develop and maintain policies and procedures for clients.
• Mentor junior team members and build client relationships.
• Navigate regulatory examinations and provide practical guidance.

Skills

Regulatory compliance

Client-facing

Project management

Regulatory guidance

Regulatory examinations

Job description

Philadelphia, PA | Onsite $160,000-$200,000 Base Salary

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.

What You'll Be Doing

• 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

What They're Looking For

• 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