Senior RIA Compliance Leader & Team Coach

Dynasty Financial Partners; Florida; 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 is seeking a senior Compliance Manager to lead the Network Compliance team and partner with the CCO to build a best-in-class compliance offering for RIAs. The role requires guiding regulatory strategy, coaching staff, and ensuring high-quality deliverables across the Dynasty Network.

You will stay current with SEC rules, manage exams and deficiencies, and drive continuous improvement in compliance programs while communicating effectively with management and clients.

Qualifications

• Bachelor’s degree or equivalent experience.
• 8-10 years of experience supporting compliance for RIAs or SEC experience with RIAs.
• 3+ years in supervising or managing staff and developing talent.
• Strong leadership with ability to motivate, coach, and hold others accountable.
• Knowledge of the Investment Advisers Act of 1940 and ERISA.
• Familiarity with the regulatory and operational framework of RIAs.

Responsibilities

• Support the Dynasty Network of independent RIAs.
• Lead and supervise compliance personnel and drive the compliance program.
• Develop compliance programs and best practices for the Dynasty Network of RIAs.
• Coach and develop team members and provide training and feedback.
• Manage process improvements and project work with the CCO.
• Interact with compliance providers to ensure quality deliverables.
• Review diagnostic reviews of network RIA programs and regulatory exams.
• Ensure proper procedures and controls across Network teams.
• Stay up-to-date on SEC rules and other regulations affecting RIAs.
• Communicate key compliance matters to the Network team and Dynasty management.
• Train Network Compliance staff on policies and procedures.
• Assist Network RIAs with SEC exams and regulatory requests.
• Present to large audiences in person and digitally.

Skills

Leadership

Regulatory knowledge

Communication

Project management

Self-starter

Detail oriented

Analytical

Travel readiness

Talent development

Education

Bachelor’s degree or equivalent experience

Tools

Series 65

Job description

Dynasty Financial Partners is seeking a senior Compliance Manager to lead the Network Compliance team and partner with the CCO to build a best-in-class compliance offering for RIAs. The role requires guiding regulatory strategy, coaching staff, and ensuring high-quality deliverables across the Dynasty Network.

You will stay current with SEC rules, manage exams and deficiencies, and drive continuous improvement in compliance programs while communicating effectively with management and clients.