Director of Compliance

GemHarvest Executive Recruiting; Rhode Island; In loco; USD 120.000 - 150.000; Tempo pieno

Vantaggi offerti da questo lavoro

Bonus

Benefits package

In-office 5 days a week

Descrizione del lavoro

GemHarvest Executive Recruiting is seeking an experienced Compliance Leader for a well-established independent wealth management firm in South County, Rhode Island. The role leads SEC/FINRA compliance, regulatory filings, audits, and supervisory oversight.

You will strengthen policies and monitoring, partner with senior leadership and external consultants, and help preserve a high-integrity culture. Five days per week in office with competitive benefits and long-term career growth.

Competenze

• 5+ years of financial services compliance experience.
• Series 7 and 24 preferred, or ability to obtain.
• Strong regulatory judgment, advanced Excel skills, and technological proficiency.
• Independent, proactive approach and strong interpersonal skills.
• Bachelor's Degree.
• Must be within a 45-minute commute of Washington County, RI.

Mansioni

• Lead SEC/FINRA compliance, regulatory filings, audits, and supervisory oversight
• Strengthen policies, procedures, and compliance monitoring
• Partner closely with senior leadership, advisors, and external consultants

Conoscenze

Excel skills

Regulatory knowledge

Interpersonal skills

Proactive mindset

Formazione

Bachelor's Degree

Strumenti

Excel

Descrizione del lavoro

South County, Rhode Island /Southeastern Connecticut

A well-established, independent wealth management firm with over $1B in AUM is seeking an experienced compliance leader. This is an opportunity to make a meaningful impact within a collaborative, high-integrity environment, with room for long-term career growth.

What You'll Do

• Lead SEC/FINRA compliance, regulatory filings, audits, and supervisory oversight
• Strengthen policies, procedures, and compliance monitoring
• Partner closely with senior leadership, advisors, and external consultants

What's Offered

• $120,000-$150,000 base, depending on experience, plus bonus and benefits
• Long-term career growth in compliance
• Competitive benefits package
• Five days per week in office

What You Bring

• 5+ years of financial services compliance experience
• Series 7 and 24 preferred, or ability to obtain
• Strong regulatory judgment, advanced Excel skills, and technological proficiency
• Independent, proactive approach and strong interpersonal skills
• Bachelor's Degree
• Must be within a 45-minute commute of Washington County, RI