Senior Compliance Advisor, Financial Services

Larson Maddox; Philadelphia (Philadelphia County); On-site; USD 160,000 - 200,000; Full time

Job summary

Larson Maddox is seeking an experienced Compliance Director in Philadelphia, onsite, offering a $160,000-$200,000 base salary. This role partners with broker-dealers, RIAs, asset managers, and other financial institutions to navigate regulatory requirements and maintain strong compliance programs.

The ideal candidate combines deep technical regulatory knowledge with client-facing consultative skills, manages multiple engagements, and provides practical guidance for complex regulatory matters and

Qualifications

• 8+ years of financial services compliance experience.
• Strong knowledge of SEC and FINRA regulations.
• Experience advising broker-dealers, RIAs, and asset managers.
• Ability to translate complex rules into practical guidance.
• Excellent communication and relationship-management skills.
• Prior client-facing consulting experience is a plus.

Responsibilities

• Serve as a senior compliance advisor to a portfolio of financial services clients.
• Lead compliance reviews, risk assessments, and ongoing monitoring.
• Support regulatory filings and annual compliance reviews.
• Develop and maintain policies and procedures for clients.
• Mentor junior team members and build client relationships.
• Navigate regulatory examinations and provide practical guidance.

Skills

Regulatory compliance

Client-facing

Project management

Regulatory guidance

Regulatory examinations

Job description

Larson Maddox is seeking an experienced Compliance Director in Philadelphia, onsite, offering a $160,000-$200,000 base salary. This role partners with broker-dealers, RIAs, asset managers, and other financial institutions to navigate regulatory requirements and maintain strong compliance programs.

The ideal candidate combines deep technical regulatory knowledge with client-facing consultative skills, manages multiple engagements, and provides practical guidance for complex regulatory matters and