Senior Compliance Director — In-Office, Growth & Impact

GemHarvest Executive Recruiting; Rhode Island; On-site; USD 120,000 - 150,000; Full time

Benefits offered by this job

Bonus

Benefits package

In-office 5 days a week

Job summary

GemHarvest Executive Recruiting is seeking an experienced Compliance Leader for a well-established independent wealth management firm in South County, Rhode Island. The role leads SEC/FINRA compliance, regulatory filings, audits, and supervisory oversight.

You will strengthen policies and monitoring, partner with senior leadership and external consultants, and help preserve a high-integrity culture. Five days per week in office with competitive benefits and long-term career growth.

Qualifications

• 5+ years of financial services compliance experience.
• Series 7 and 24 preferred, or ability to obtain.
• Strong regulatory judgment, advanced Excel skills, and technological proficiency.
• Independent, proactive approach and strong interpersonal skills.
• Bachelor's Degree.
• Must be within a 45-minute commute of Washington County, RI.

Responsibilities

• Lead SEC/FINRA compliance, regulatory filings, audits, and supervisory oversight
• Strengthen policies, procedures, and compliance monitoring
• Partner closely with senior leadership, advisors, and external consultants

Skills

Excel skills

Regulatory knowledge

Interpersonal skills

Proactive mindset

Education

Bachelor's Degree

Tools

Excel

Job description

GemHarvest Executive Recruiting is seeking an experienced Compliance Leader for a well-established independent wealth management firm in South County, Rhode Island. The role leads SEC/FINRA compliance, regulatory filings, audits, and supervisory oversight.

You will strengthen policies and monitoring, partner with senior leadership and external consultants, and help preserve a high-integrity culture. Five days per week in office with competitive benefits and long-term career growth.