RIA Compliance Director — Hybrid & Growth

Gradient Financial Group; Arden Hills (MN); Hybrid; USD 150,000 - 190,000; Full time

Benefits offered by this job

Competitive compensation

Health benefits

4 weeks PTO + holidays

401(k)

Job summary

Gradient Financial Group seeks a Director of Compliance to lead hands-on RIA compliance, registration, and ongoing regulatory filings. You will guide RIAs through SEC/state requirements, review advertising, and monitor regulatory changes to keep documentation up to date.

Ideal candidates have Series 65/7/66 licenses, 1+ years in RIA compliance, and experience with Form ADV and filings. This role supports multiple entities and offers in‑office collaboration with some remote work flexibility.

Qualifications

• Bachelor's degree or equivalent professional experience required.
• FINRA Series 65 or Series 7 and 66 licenses required.

Responsibilities

• Conduct initial client calls to review required books and records and assess compliance needs.
• Prepare client books and records for regulatory audits.
• Update compliance documentation and draft written responses to audit findings.
• Respond to client questions regarding compliance requirements and review advertising materials.
• Monitor SEC and state regulatory changes and update compliance templates and documentation accordingly.
• Prepare annual regulatory filings, including Form ADV Parts 1 and 2, and other required documents.
• Draft RIA registration documents, including Form ADV Parts 2A and 2B and Investment Advisory Agreements.
• Prepare and submit RIA registration filings through IARD/CRD, including Form ADV Parts 1 and 2, Form U4, and applicable state-specific documentation.
• Respond to regulatory deficiency letters and coordinate revisions or supplemental documentation.

Skills

RIA compliance

SEC regulations

State securities laws

Regulatory filings

IARD/CRD access

Licensing: Series 65/7/66

Education

Bachelor's degree

Tools

IARD/CRD

Job description

Gradient Financial Group seeks a Director of Compliance to lead hands-on RIA compliance, registration, and ongoing regulatory filings. You will guide RIAs through SEC/state requirements, review advertising, and monitor regulatory changes to keep documentation up to date.

Ideal candidates have Series 65/7/66 licenses, 1+ years in RIA compliance, and experience with Form ADV and filings. This role supports multiple entities and offers in‑office collaboration with some remote work flexibility.