Compliance Manager

Dynasty Financial Partners; Saint Petersburg (FL); On-site; USD 110,000 - 170,000; Full time

Benefits offered by this job

Health Insurance

Dental insurance

Vision insurance

401(k) retirement plan

401(k) matching

Paid Time Off

FSA/HSA benefits plans

Disability benefits

Voluntary Life Insurance

Basic Life Insurance

Job summary

Dynasty Financial Partners is seeking a Compliance Manager to lead regulatory consulting for the Dynasty Network of RIAs. This client-facing, fast-paced role will coach and develop the compliance team and support the build-out of a custom compliance offering, drawing on best practices used across the Dynasty Network of RIAs.

Responsibilities include supervising compliance personnel, driving program development, and coordinating with SEC matters.

Qualifications

• Bachelor’s degree or equivalent experience required.
• 8–10 years in compliance program support for an RIA or SEC experience with RIAs.
• 3+ years supervising professional staff with talent development track record.
• Strong leadership, coaching, accountability, and communication skills.

Responsibilities

• Support the Dynasty Network of independent RIAs.
• Lead and supervise compliance personnel with day-to-day direction and workload management.
• Develop compliance programs and best practices for the Dynasty Network of RIAs.
• Coach and develop team members with ongoing training and reviews.
• Lead process-improvement projects with COO support.
• Interact with compliance resource providers to ensure quality outputs.
• Oversee diagnostic reviews of RIA compliance programs and regulatory exams.
• Follow up on deficiencies to ensure proper controls across networks.
• Stay current on SEC rules affecting RIAs.
• Train staff on compliance policies and procedures.
• Assist RIAs with SEC exams and regulatory requests.
• Present to large audiences in-person and digitally.

Skills

Regulatory expertise

Leadership

Project management

Communication

RIA regulations

Education

Bachelor’s degree or equivalent experience

Job description

JOB OVERVIEW

A client-facing and fast-paced role, the Compliance Manager will provide regulatory consulting and support to the rapidly growing Dynasty Network of registered investment advisers (RIAs). As a key people leader, the Compliance Manager will be expected to help build, coach, and develop the compliance personnel who support the department. This individual will be instrumental in assisting the Chief Compliance Officer in managing and maintaining the build out of a custom compliance offering leveraging the best practices utilized within the Dynasty Network of RIAs. The Compliance Manager will be viewed as a "go to" person when compliance questions arise from Network RIAs and within the department.

RESPONSIBILITIES

• Support the Dynasty Network of independent RIAs
• Assist the leadership of the Network Compliance team in driving the Dynasty Compliance Offering
• Lead and supervise compliance personnel who support the department, providing day-to-day direction, setting clear goals and expectations, delegating effectively, and managing team workload and capacity
• Determine and lead in the development of compliance programs and best practices for the Dynasty Network of RIAs
• Coach and develop team members through ongoing training, regular one-on-one feedback, and formal performance reviews, fostering a culture of accountability, quality, and continuous learning within the team
• Project management of process improvement initiatives, taking independent lead with support from CCO
• Interact with Dynasty’s compliance resource providers and assist in achieving quality and uniformity in the deliverable
• Direct ongoing diagnostic reviews of Network RIA compliance programs and regulatory exams, and review team work product
• Follow up on internal and regulatory deficiencies within the Network to ensure proper procedures and controls are in place for Network teams
• Keep up to date on SEC Rules and other regulations that may impact the Network RIAs
• Communicate important compliance matters or other Network developments in a timely manner to the Network Compliance team and Dynasty management
• Train internal and Network Compliance employees on compliance policies and procedures
• Assist Network RIAs with SEC exams and other regulatory requests
• Presenting to large audiences in person and in digital forms including but not limited to conferences, webinars, and recorded training

REQUIREMENTS

• Bachelor’s degree or equivalent experience
• 8-10 years of experience supporting the compliance program of an RIA and/or working for the SEC with respect to RIAs
• 3+ years of experience supervising or managing professional staff, with a track record of developing talent
• Strong leadership presence, with the ability to motivate, coach, give candid feedback, and hold others accountable
• Substantial knowledge of the Investment Advisers Act of 1940 and ERISA
• "Clients first" mentality
• Familiarity with regulatory and operational framework of RIAs
• Experience with the creation, formation, and launch of investment adviser entities
• Series 65 strongly recommended
• Superior communication skills, written and spoken, for both one to one and larger audiences
• Strong organizational skills
• Self-starter that can independently take a project and move it forward without manager intervention
• Strong attention to detail and analytical skills
• Able to manage multiple tasks and team workloads in a fast-paced business environment
• Some domestic travel to visit the offices of the Network RIAs, as necessary

BENEFITS

• Health Insurance
• Dental insurance
• Vision insurance
• Retirement plan 401(k)
• 401(k) matching
• Paid Time Off
• FSA/HSA benefits plans
• Disability benefits
• Voluntary Life Insurance
• Basic Life Insurance

EQUAL EMPLOYMENT OPPORTUNITY

Dynasty Financial Partners is committed to providing equal employment opportunities and ensuring that all employment-related decisions are made without regard to race, color, sex, age, national origin, religion, physical or mental disability (unrelated to the ability to perform job duties) veteran status, or any other protected status under applicable law.