Senior Compliance Leader, Financial Services & RIAs

ADP, Inc.; Mayfield Heights (OH); On-site; USD 120,000 - 180,000; Full time

Job summary

Sequoia Financial Group in Northeast Ohio seeks a Senior Compliance Manager to lead the firm's regulatory program, focusing on SEC, FINRA, DOL and state rules. You will help implement policies, oversee risk management, and supervise the compliance program.

Qualified candidates have 10+ years in financial services compliance, experience with RIAs, and the ability to translate complex regulations into actionable guidance for leadership. This is a full-time Akron-based role.

Qualifications

• 10+ years of financial services compliance experience.
• Strong attention to detail and highly organized.
• Excellent written and verbal communication; ability to influence senior management.

Responsibilities

• Lead implementation and communication of the RIA compliance program.
• Review and update firm compliance policies and procedures.
• Assess regulatory trends to maintain compliance across the firm.
• Develop ongoing compliance training for internal teams.
• Support regulatory examinations and inquiries.
• Collaborate with Operations, Marketing, HR, Finance and advisor groups.

Skills

10+ yrs exp

Attention to detail

Highly organized

Written & verbal communication

Influence senior management

Multi-tasking

Financial services knowledge

Investment Advisers Act familiarity

Job description

Sequoia Financial Group in Northeast Ohio seeks a Senior Compliance Manager to lead the firm's regulatory program, focusing on SEC, FINRA, DOL and state rules. You will help implement policies, oversee risk management, and supervise the compliance program.

Qualified candidates have 10+ years in financial services compliance, experience with RIAs, and the ability to translate complex regulations into actionable guidance for leadership. This is a full-time Akron-based role.