Remote Director of Compliance, Outsourced Consulting

Advisors Excel; Topeka, Lenexa (KS, KS); Remote; USD 130.000 - 190.000; Vollzeit

Benefits dieser Stelle

Medical, dental, vision

401k with matching

Generous PTO

On-site café & gym

Professional development

Zusammenfassung

Advisors Excel is seeking a Director of Compliance for Outsourced Consulting Services. This remote-friendly role focuses on building and growing compliance consulting for third-party RIAs, guiding IARs through registration, and delivering practical regulatory solutions.

Strong leadership and a track record in advisory compliance are essential. You will partner with leadership and sales to expand services, stay ahead of regulatory changes, and foster client trust while enabling growth across

Qualifikationen

• Minimum 10 years investment advisory compliance experience.
• Prior RIA compliance consulting experience.
• Leadership experience; ability to manage, motivate, grow team members and influence cross-functional teams.
• Experience developing, launching, or expanding compliance consulting services.
• Business development experience; engaging prospective clients and presenting solutions.
• Strong understanding of investment adviser regulations and ability to interpret guidance.
• Excellent organization, communication, and relationship-building skills.

Aufgaben

• Lead the development and delivery of outsourced compliance consulting services for third-party RIAs.
• Provide expert guidance on developing, implementing, and administering compliance programs.
• Build relationships with RIA partners; deliver exceptional service.
• Support IARs establishing their own RIAs, including assist with RIA registration.
• Develop resources and processes for easier client launch and operation of independent RIAs.
• Partner with leadership and sales to identify prospective clients and support business development.
• Identify opportunities to expand services by evaluating market trends and client needs.
• Develop turnkey compliance solutions for policies, supervision, surveillance, and other functions.
• Stay current on regulatory changes and industry trends.

Kenntnisse

Investment compliance

Leadership

Business development

Regulatory knowledge

Relationship building

Communication

Ausbildung

Bachelor's degree or higher in related field

Jobbeschreibung

Advisors Excel is seeking a Director of Compliance for Outsourced Consulting Services. This remote-friendly role focuses on building and growing compliance consulting for third-party RIAs, guiding IARs through registration, and delivering practical regulatory solutions.

Strong leadership and a track record in advisory compliance are essential. You will partner with leadership and sales to expand services, stay ahead of regulatory changes, and foster client trust while enabling growth across