RIA Compliance Leader & Training Coach

Dynasty Financial Partners; Saint Petersburg (FL); On-site; USD 110,000 - 170,000; Full time

Benefits offered by this job

Health Insurance

Dental insurance

Vision insurance

401(k) retirement plan

401(k) matching

Paid Time Off

FSA/HSA benefits plans

Disability benefits

Voluntary Life Insurance

Basic Life Insurance

Job summary

Dynasty Financial Partners is seeking a Compliance Manager to lead regulatory consulting for the Dynasty Network of RIAs. This client-facing, fast-paced role will coach and develop the compliance team and support the build-out of a custom compliance offering, drawing on best practices used across the Dynasty Network of RIAs.

Responsibilities include supervising compliance personnel, driving program development, and coordinating with SEC matters.

Qualifications

• Bachelor’s degree or equivalent experience required.
• 8–10 years in compliance program support for an RIA or SEC experience with RIAs.
• 3+ years supervising professional staff with talent development track record.
• Strong leadership, coaching, accountability, and communication skills.

Responsibilities

• Support the Dynasty Network of independent RIAs.
• Lead and supervise compliance personnel with day-to-day direction and workload management.
• Develop compliance programs and best practices for the Dynasty Network of RIAs.
• Coach and develop team members with ongoing training and reviews.
• Lead process-improvement projects with COO support.
• Interact with compliance resource providers to ensure quality outputs.
• Oversee diagnostic reviews of RIA compliance programs and regulatory exams.
• Follow up on deficiencies to ensure proper controls across networks.
• Stay current on SEC rules affecting RIAs.
• Train staff on compliance policies and procedures.
• Assist RIAs with SEC exams and regulatory requests.
• Present to large audiences in-person and digitally.

Skills

Regulatory expertise

Leadership

Project management

Communication

RIA regulations

Education

Bachelor’s degree or equivalent experience

Job description

Dynasty Financial Partners is seeking a Compliance Manager to lead regulatory consulting for the Dynasty Network of RIAs. This client-facing, fast-paced role will coach and develop the compliance team and support the build-out of a custom compliance offering, drawing on best practices used across the Dynasty Network of RIAs.

Responsibilities include supervising compliance personnel, driving program development, and coordinating with SEC matters.