Head of Compliance

Revolt Financial; United States; On-site; USD 120,000 - 180,000; Full time

Benefits offered by this job

Competitive compensation and benefits

Commitment to continuing education and professional growth

Inclusive, collaborative workplace culture

Job summary

A growing financial services firm is seeking a Head of Compliance to enhance the compliance program and oversee regulatory activities. This role requires at least 5 years of leadership experience in a regulated environment and strong knowledge of compliance frameworks. The ideal candidate will manage interactions with regulators and ensure adherence to laws and policies. The role offers competitive compensation and a commitment to professional growth.

Qualifications

• 5+ years of compliance leadership experience within a regulated financial services environment.
• Strong knowledge of broker-dealer or investment compliance and supervisory frameworks.
• Experience interacting directly with regulators and managing regulatory examinations.

Responsibilities

• Own and enhance the firm’s supervisory procedures, control framework, and risk assessment processes.
• Act as the firm’s primary regulatory contact and manage required filings.
• Lead the review and approval of marketing and client-facing materials for compliance.

Skills

Compliance leadership

Regulatory expertise

Excellent communication skills

Proactive leadership style

Education

Series 24

Series 7

Series 14

Job description

Direct message the job poster from Revolt Financial

Compensation: Competitive base salary with discretionary bonus | W2 with benefits

About the Role

Our client, a growing financial services firm, is seeking a Head of Compliance to design, implement, and continuously improve the company’s compliance program. Reporting to senior leadership, this regulatory-facing role will oversee all aspects of compliance, including supervisory procedures, regulatory filings, communications review, and product governance. The position requires strong leadership, regulatory expertise, and the ability to partner across business functions to uphold a culture of integrity and accountability.

Key Responsibilities

• Compliance Leadership: Own and enhance the firm’s supervisory procedures, control framework, and risk assessment processes. Maintain issue and risk logs, ensuring timely resolution.
• Regulatory Oversight: Act as the firm’s primary regulatory contact. Manage required filings, monitor rule changes, and adapt policies and training accordingly.
• Communications Review: Lead the review and approval of marketing, client-facing, and internal materials to ensure accuracy and compliance with regulatory standards.
• Product & Business Practices: Oversee product approval and governance processes, ensuring due diligence, operational readiness, disclosure accuracy, and appropriate supervision.
• Financial Crimes Compliance: Serve as the designated AML officer, managing all aspects of the firm’s AML program, including monitoring, reporting, and coordination with partners.
• Licensing & Training: Manage licensing/registration for representatives, continuing education requirements, and deliver firmwide compliance training and annual meetings.
• 5+ years of compliance leadership experience within a regulated financial services environment
• Strong knowledge of broker-dealer or investment compliance and supervisory frameworks
• Experience interacting directly with regulators and managing regulatory examinations
• Series 24 and Series 7 required; Series 14 strongly preferred, or willingness to obtain within an agreed-upon timeframe
• Excellent communication skills, sound judgment, and proactive leadership style

Why Join the Team

• Competitive compensation and benefits
• Commitment to continuing education and professional growth
• Inclusive, collaborative workplace culture

Seniority level

Executive

Employment type

Full-time

Job function

Strategy/Planning, Quality Assurance, and Legal

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