Senior Compliance Manager — RIA Network & Training

Dynasty Financial Partners, LLC; Saint Petersburg (FL); On-site; USD 120,000 - 180,000; Full time

Benefits offered by this job

Health Insurance

Dental insurance

Vision insurance

Retirement plan 401(k)

401(k) matching

Paid Time Off

FSA/HSA benefits plans

Disability benefits

Voluntary Life Insurance

Basic Life Insurance

Job summary

Dynasty Financial Partners, LLC is seeking a Compliance Manager to lead a client-facing team responsible for regulatory consulting across the Dynasty Network of RIAs. You will coach staff, develop programs, and support the Chief Compliance Officer in building out a best-practices offering.

The role requires 8–10 years in RIA compliance or SEC experience, strong leadership and communication skills, and the ability to manage multiple initiatives in a fast-paced environment; some travel to network

Qualifications

• Bachelor’s degree or equivalent experience.
• 8-10 years in RIA compliance or SEC experience.
• 3+ years supervising staff and developing talent.
• Deep knowledge of the Investment Advisers Act of 1940 and ERISA.
• Strong leadership, communication, and organizational skills.

Responsibilities

• Support the Dynasty Network of independent RIAs and the compliance offering.
• Lead and supervise compliance personnel; set goals and manage workload.
• Develop compliance programs and best practices for the network.
• Coach team through training and performance reviews.
• Manage process improvements with CCO support.
• Interact with compliance providers to ensure quality deliverables.
• Review diagnostics of network RIA compliance programs and exams.
• Address deficiencies and ensure proper controls.
• Stay updated on SEC rules affecting network RIAs.
• Train Network and internal compliance staff on policies.
• Assist RIAs with SEC exams and regulatory requests.
• Present to large audiences via conferences, webinars, and training.

Skills

Leadership

Coaching

Communication

Project management

Talent development

Education

Bachelor’s degree or equivalent experience

Job description

Dynasty Financial Partners, LLC is seeking a Compliance Manager to lead a client-facing team responsible for regulatory consulting across the Dynasty Network of RIAs. You will coach staff, develop programs, and support the Chief Compliance Officer in building out a best-practices offering.

The role requires 8–10 years in RIA compliance or SEC experience, strong leadership and communication skills, and the ability to manage multiple initiatives in a fast-paced environment; some travel to network