Head of Advisor Compliance & Regulatory Strategy

Larson Maddox; Atlanta (GA); On-site; USD 170,000 - 200,000; Full time

Job summary

Confidential Financial Services is seeking a Vice President, Advisor Compliance to oversee and enhance compliance programs across investment adviser and broker-dealer operations. The role partners with senior leaders to develop policies, supervision controls, and risk management frameworks in a regulated advisory environment.

The ideal candidate has deep investment adviser compliance experience, broker-dealer exposure, and familiarity with SEC rules.

Qualifications

• Bachelor's degree required; advanced degree or professional certifications are a plus.
• Series 65/66 license required or applicable professional designation for IAR registration.
• Extensive experience in investment adviser compliance; broker-dealer exposure; SEC rules knowledge.
• Experience managing regulatory examinations and inquiries.
• Strong written, verbal, and interpersonal communication skills.

Responsibilities

• Provide compliance oversight and guidance for investment advisory and broker-dealer activities.
• Develop, implement, and enhance compliance policies, procedures, and supervisory controls.
• Partner with business leadership to advise on regulatory requirements, strategic initiatives, and emerging risks.
• Design and improve monitoring, surveillance, due diligence, and oversight programs.
• Lead compliance-related projects and regulatory change management efforts.
• Support regulatory examinations, audits, and inquiries.
• Develop executive reporting, governance materials, and compliance metrics.
• Deliver compliance training and regulatory guidance to business stakeholders.
• Promote a culture of ethics, integrity, and compliance across the organization.
• Collaborate with cross-functional teams to improve processes and implement technology-driven solutions.

Skills

Investment adviser compliance

Broker-dealer compliance

SEC regulations

Regulatory risk management

Leadership & collaboration

Education

Bachelor's degree

Advanced degree or professional certifications

Job description

Confidential Financial Services is seeking a Vice President, Advisor Compliance to oversee and enhance compliance programs across investment adviser and broker-dealer operations. The role partners with senior leaders to develop policies, supervision controls, and risk management frameworks in a regulated advisory environment.

The ideal candidate has deep investment adviser compliance experience, broker-dealer exposure, and familiarity with SEC rules.