Director of Compliance

Gradient Financial Group; Arden Hills (MN); Hybrid; USD 150,000 - 190,000; Full time

Benefits offered by this job

Competitive compensation

Health benefits

4 weeks PTO + holidays

401(k)

Job summary

Gradient Financial Group seeks a Director of Compliance to lead hands-on RIA compliance, registration, and ongoing regulatory filings. You will guide RIAs through SEC/state requirements, review advertising, and monitor regulatory changes to keep documentation up to date.

Ideal candidates have Series 65/7/66 licenses, 1+ years in RIA compliance, and experience with Form ADV and filings. This role supports multiple entities and offers in‑office collaboration with some remote work flexibility.

Qualifications

• Bachelor's degree or equivalent professional experience required.
• FINRA Series 65 or Series 7 and 66 licenses required.

Responsibilities

• Conduct initial client calls to review required books and records and assess compliance needs.
• Prepare client books and records for regulatory audits.
• Update compliance documentation and draft written responses to audit findings.
• Respond to client questions regarding compliance requirements and review advertising materials.
• Monitor SEC and state regulatory changes and update compliance templates and documentation accordingly.
• Prepare annual regulatory filings, including Form ADV Parts 1 and 2, and other required documents.
• Draft RIA registration documents, including Form ADV Parts 2A and 2B and Investment Advisory Agreements.
• Prepare and submit RIA registration filings through IARD/CRD, including Form ADV Parts 1 and 2, Form U4, and applicable state-specific documentation.
• Respond to regulatory deficiency letters and coordinate revisions or supplemental documentation.

Skills

RIA compliance

SEC regulations

State securities laws

Regulatory filings

IARD/CRD access

Licensing: Series 65/7/66

Education

Bachelor's degree

Tools

IARD/CRD

Job description

Are you experienced in RIA compliance and knowledgeable about SEC and state regulatory requirements? We’re looking for a Director of Compliance with hands‑on experience in RIA registration, regulatory filings, and ongoing compliance to help Registered Investment Advisors navigate regulatory requirements with confidence.

Gradient Financial Group is a financial services organization with twelve specialized entities, including RIA Registrar, which supports Registered Investment Advisories (RIAs) and Financial Services Professionals nationwide with compliance, regulatory filings, and operational guidance. Join us to put your RIA expertise to work while building trusted client relationships.

What You’ll Do

• Conduct initial client calls to review required books and records and assess compliance needs
• Prepare client books and records for regulatory audits
• Update compliance documentation and draft written responses to audit findings
• Respond to client questions regarding compliance requirements and review advertising materials
• Monitor SEC and state regulatory changes and update compliance templates and documentation accordingly
• Prepare annual regulatory filings, including Form ADV Parts 1 and 2, and other required documents
• Draft RIA registration application documents, including Form ADV Parts 2A and 2B and Investment Advisory Agreements
• Prepare and submit RIA registration filings through IARD/CRD, including Form ADV Parts 1 and 2, Form U4, and applicable state‑specific documentation
• Respond to regulatory deficiency letters and coordinate required revisions or supplemental documentation

What You Bring

• Bachelor’s degree or equivalent professional experience – Required
• FINRA Series 65 or Series 7 and 66 licenses – Required
• 1+ years of experience in RIA compliance, SEC/state regulatory requirements, or investment adviser registration – Preferred
• 3+ years of experience in the financial services industry – Preferred
• Working knowledge of SEC regulations, state securities laws, and applicable regulatory requirements – Preferred
• Familiarity with compliance systems, internal controls, and regulatory procedures – Preferred
• Knowledge of RIA registration forms and regulatory filing requirements – Preferred
• Proficiency with the IARD/CRD systems – Preferred

Our Benefits

• Competitive compensation and comprehensive benefits
• 4 weeks of accrued PTO, plus 9 paid holidays
• Medical, dental, vision, life insurance, and 401(k)
• 8 hours of paid volunteer time off (VTO)
• Ability to work in‑office four days per week with one remote workday
• Ongoing professional development and training

Why You’ll Love Working Here

At Gradient, we set high expectations, but we back them with support, collaboration, and opportunities to grow. If you’re positive, driven, and enjoy working alongside motivated teammates, you’ll feel right at home. Check out more amazing opportunities here: https://www.careers.gradientfinancialgroup.com/