Director, Outsourced Compliance Consulting (Remote)

Advisors Excel; United States; Remote; USD 140,000 - 220,000; Full time

Benefits offered by this job

Medical, Dental, Vision

401(k) with matching

Generous PTO

Professional development opportunities

Job summary

Advisors Excel is seeking a Director of Compliance, Outsourced Consulting Services to lead our outsourced compliance practice for third-party RIAs. This remote role reports to the VP of Compliance, Outsourced Consulting Services and supports RIAs nationwide with robust, scalable programs.

You will build and guide a team, develop turnkey compliance solutions, and partner with sales to win new business while ensuring regulatory alignment and strong client relationships across the advisory

Qualifications

• Experience leading outsourced compliance consulting teams.
• Ability to translate complex regulations into actionable guidance for RIAs.
• Proven track record in business development and client engagement.
• Strong communication with senior leadership and independent advisors.
• Proactive risk assessment and issue escalation capabilities.

Responsibilities

• Lead the development and delivery of outsourced compliance consulting services for third-party RIAs.
• Provide expert guidance on developing, implementing, and administering compliance programs that meet applicable laws and regulations.
• Build strong relationships with RIA partners by delivering exceptional service and understanding their business needs.
• Guide IARs through RIA registration processes and establish strong compliance foundations.
• Develop resources and processes to simplify launching and operating independent RIAs.
• Collaborate with leadership and sales to identify prospective clients and support business development.
• Identify opportunities to expand services based on market trends and client needs.
• Ensure policies, supervision, surveillance, and other compliance functions are turnkey.

Skills

Investment advisory compliance

Leadership

Business development

Regulatory guidance

Relationship building

Regulatory interpretation

Education

Bachelor's degree or higher

Job description

Advisors Excel is seeking a Director of Compliance, Outsourced Consulting Services to lead our outsourced compliance practice for third-party RIAs. This remote role reports to the VP of Compliance, Outsourced Consulting Services and supports RIAs nationwide with robust, scalable programs.

You will build and guide a team, develop turnkey compliance solutions, and partner with sales to win new business while ensuring regulatory alignment and strong client relationships across the advisory