Director, Outsourced Compliance for RIAs | Remote

Advisors Excel; Topeka, Lenexa (KS, KS); Remoto; USD 120.000 - 180.000; Tempo integral

Benefícios oferecidos por esta vaga

Medical benefits

Dental benefits

401k with match

PTO

Resumo da vaga

Advisors Excel is seeking a Director of Compliance for Outsourced Consulting Services to lead the delivery of compliance solutions for third-party RIAs. You will guide advisory firms through regulatory requirements, build trusted relationships, and help IARs establish their own RIAs while expanding our consulting offerings.

The role emphasizes leadership, client-facing guidance, and collaboration with cross-functional teams to ensure high-quality, compliant solutions for independent financial

Qualificações

• Minimum 10 years investment advisory compliance experience.
• Prior RIA compliance consulting experience is preferred.
• Leadership experience with ability to grow and motivate a team.
• Experience developing, launching, or expanding compliance consulting services.

Responsabilidades

• Lead the development and delivery of outsourced compliance consulting services for third-party RIAs.
• Provide guidance on developing, implementing, and administering compliance programs.
• Build relationships with RIA partners and understand their business needs.
• Support IARs establishing their own RIAs, including registration processes.
• Develop resources and processes to simplify launching independent RIAs.

Conhecimentos

Investment advisory compliance

Leadership

Business development

Regulatory guidance

Relationship building

Formação

Bachelor's degree or higher in related field

Descrição da vaga

Advisors Excel is seeking a Director of Compliance for Outsourced Consulting Services to lead the delivery of compliance solutions for third-party RIAs. You will guide advisory firms through regulatory requirements, build trusted relationships, and help IARs establish their own RIAs while expanding our consulting offerings.

The role emphasizes leadership, client-facing guidance, and collaboration with cross-functional teams to ensure high-quality, compliant solutions for independent financial