VP, Advisors Compliance

Larson Maddox; Atlanta (GA); On-site; USD 170,000 - 200,000; Full time

Job summary

Confidential Financial Services is seeking a Vice President, Advisor Compliance to oversee and enhance compliance programs across investment adviser and broker-dealer operations. The role partners with senior leaders to develop policies, supervision controls, and risk management frameworks in a regulated advisory environment.

The ideal candidate has deep investment adviser compliance experience, broker-dealer exposure, and familiarity with SEC rules.

Qualifications

• Bachelor's degree required; advanced degree or professional certifications are a plus.
• Series 65/66 license required or applicable professional designation for IAR registration.
• Extensive experience in investment adviser compliance; broker-dealer exposure; SEC rules knowledge.
• Experience managing regulatory examinations and inquiries.
• Strong written, verbal, and interpersonal communication skills.

Responsibilities

• Provide compliance oversight and guidance for investment advisory and broker-dealer activities.
• Develop, implement, and enhance compliance policies, procedures, and supervisory controls.
• Partner with business leadership to advise on regulatory requirements, strategic initiatives, and emerging risks.
• Design and improve monitoring, surveillance, due diligence, and oversight programs.
• Lead compliance-related projects and regulatory change management efforts.
• Support regulatory examinations, audits, and inquiries.
• Develop executive reporting, governance materials, and compliance metrics.
• Deliver compliance training and regulatory guidance to business stakeholders.
• Promote a culture of ethics, integrity, and compliance across the organization.
• Collaborate with cross-functional teams to improve processes and implement technology-driven solutions.

Skills

Investment adviser compliance

Broker-dealer compliance

SEC regulations

Regulatory risk management

Leadership & collaboration

Education

Bachelor's degree

Advanced degree or professional certifications

Job description

Compensation: $170,000 - $200,000 + Annual Bonus

Employment Type: Full-Time

About the Opportunity

A leading financial services organization is seeking a Vice President, Advisor Compliance to support and enhance compliance programs across both investment adviser and broker-dealer operations.

This leadership role will partner closely with senior business leaders, legal teams, and compliance professionals to develop and strengthen policies, supervisory frameworks, oversight programs, and regulatory risk management initiatives. The ideal candidate will bring deep investment adviser compliance expertise, strong broker-dealer knowledge, and experience supporting advisory-focused business models.

Key Responsibilities

• Provide compliance oversight and guidance for investment advisory and broker-dealer activities.
• Develop, implement, and enhance compliance policies, procedures, and supervisory controls.
• Partner with business leadership to advise on regulatory requirements, strategic initiatives, and emerging risks.
• Design and improve monitoring, surveillance, due diligence, and oversight programs.
• Lead compliance-related projects and regulatory change management efforts.
• Support regulatory examinations, audits, and inquiries.
• Develop executive reporting, governance materials, and compliance metrics.
• Deliver compliance training and regulatory guidance to business stakeholders.
• Promote a culture of ethics, integrity, and compliance across the organization.
• Collaborate with cross-functional teams to improve processes and implement technology-driven solutions.

Qualifications

• Bachelor's degree required; advanced degree or professional certifications are a plus.
• Series 65/66 license required or applicable professional designation for IAR registration.
• Extensive experience in investment adviser compliance.
• Meaningful exposure to broker-dealer compliance and FINRA regulatory requirements.
• Strong knowledge of SEC rules and regulations governing advisory businesses.
• Experience developing and enhancing compliance programs, controls, and supervisory frameworks.
• Proven ability to partner with executive leadership and advise on regulatory matters.
• Experience managing regulatory examinations and responding to regulatory inquiries.
• Strong written, verbal, and interpersonal communication skills.
• Ability to balance regulatory expectations with business objectives.

Preferred Experience

• Experience supporting wealth management or advisory-focused business models.
• Familiarity with multi-platform or multi-custodian advisory environments.
• Experience driving compliance process improvements, automation, or technology initiatives.
• Understanding of fiduciary obligations and retail advisory regulations.
• Demonstrated success leading teams and developing compliance talent.