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Director of Compliance

Director of Compliance job! Our Client has grown from one location to an organization now operating numerous locations across multiple states and additional separate entities. They are an independent financial services firm helping individuals create retirement strategies using a variety of investment and insurance products to custom suit their needs and objectives. Our Client focuses on financial advice while incorporating tax strategies, retirement, and estate planning.

Exceptional opportunity for an individual looking to grow their career with a growing company. The Director of Compliance job's salary is $140k to $180k DOE + Bonus. This Director of Compliance job is located in Denver, CO. However, Hawaii is also a possibility. Apply now for this excellent Director of Compliance job by following the instructions at the end of this Job description!

Job Summary

The Director of Compliance will oversee the Client's Compliance Department and manage the systems, processes, and personnel that support firm-wide compliance operations. Reporting directly to the Chief Compliance Officer (CCO), the Director will play a critical leadership role in designing, implementing, and continuously enhancing the firm's compliance framework. In this role, the Director ensures regulatory adherence while supporting the firm's financial, operational, and service commitments to clients, employees, and shareholders.

Duties and Responsibilities

• Leadership & Strategy

  • Provide leadership by participating in leadership committees to help shape company strategy and policy.
  • Drive company goals by guiding the achievement of annual KPIs, three-year objectives, and long-term strategic targets.
  • Develop strategic initiatives that ensure the organization consistently meets evolving regulatory standards.

• Compliance Staff Management

  • Supervise daily operations of the Compliance team, including Licensing, Contracting, and Compliance Specialists, to ensure alignment with corporate objectives.
  • Lead team communication by conducting daily huddles, weekly staff meetings, and regular one-on-one meetings.
  • Develop talent through onboarding, training, mentoring, and ongoing professional development.
  • Support hiring efforts by participating in interviews and candidate selection, as needed.
  • Manage performance by conducting evaluations, delivering feedback, and administering disciplinary actions, improvement plans, or terminations when appropriate.
  • Coordinate staffing schedules to ensure adequate coverage and operational efficiency.
  • Lead and contribute to projects that enhance business effectiveness and compliance efficiency.

• Compliance-Registered Investment Advisor (RIA)

  • Evolve the compliance program to remain aligned with a continuously changing regulatory landscape.
  • Collaborate closely with the CCO, leadership, and cross-functional teams to deepen organizational understanding of regulatory requirements affecting RIAs and broker-dealers.
  • Oversee adherence to compliance policies for investment advisors, registered representatives, access persons, and home office personnel.
  • Partner cross-functionally with portfolio management, operations, finance, and marketing to identify, resolve, and prevent compliance issues.
  • Lead marketing and advertising reviews to ensure all materials comply with regulatory standards, disclosures, and internal policies.
  • Develop team expertise by coaching direct reports and strengthening overall compliance effectiveness.
  • Interpret regulations by researching new and existing rules, including SEC and FINRA updates and examination focus areas.
  • Maintain governance documents, including the Code of Ethics and Policies & Procedures manuals.
  • Ensure training delivery by developing and updating compliance education tailored to business needs and regulatory requirements.
  • Oversee the annual compliance review pursuant to Rule 206(4)-7, including documentation of findings and remediation actions.
  • Identify and remediate deficiencies in compliance processes to prevent internal or regulatory non-compliance.
  • Support regulatory examinations by preparing documentation, responding to inquiries, and coordinating audit communications.
  • Lead regulatory responses during cycle exams, targeted exams, and regulatory investigations.
  • Manage regulatory filings such as Form ADV, Forms 13-F, 13-G, 13-H, and beneficial ownership reports
  • Deliver live compliance education to advisors and employees as required.
  • Perform additional duties and special projects as assigned.

• Compliance-Broker Dealer

  • Ensure regulatory compliance with SEC, FINRA, and broker-dealer regulations by updating policies as laws evolve.
  • Identify and mitigate risk associated with trading, advisory, and supervisory activities.
  • Develop and enforce policies to ensure firm-wide adherence to compliance standards.
  • Oversee training programs covering suitability, AML, and regulatory requirements.
  • Monitor and surveil activity to detect and address potential compliance violations.
  • Manage regulatory reporting and serve as the primary contact for audits and regulatory inquiries.
  • Implement AML and fraud prevention programs, ensuring proper customer identification and reporting procedures.

• Compliance-Insurance

  • Ensure insurance regulatory compliance by overseeing licensing, continuing education, and product suitability in accordance with state regulations.

• Licensing & Contracting

  • Facilitate onboarding by managing licensing and contracting for new planners and NRF staff.
  • Support product expansion by coordinating licensing and contracting when new carriers or products are introduced.
  • Maintain comprehensive records for all insurance and securities licenses and contracts across all states.

• Professional Development

  • Pursue continuous improvement through ongoing professional training.
  • Maintain required licenses in good standing.
  • Complete continuing education requirements in a timely manner.

Job Requirements

Minimum Qualifications

• Education

  • Bachelor's degree required
  • Master's degree in Finance, Business, or Law preferred

• Experience

  • Minimum of eight (8) years of experience in compliance, risk management, or a related field

• Licenses (Preferred)

  • FINRA Series 7, 24, or 66
  • Master's degree in Finance, Business, or Law preferred

• Certifications

  • Certified Securities Compliance Professional (CSCP)
  • Certified Investment Company Compliance Professional (CICCP)

• Skills

  • Strong proficiency in Microsoft Office
  • Excellent organizational and time-management skills
  • High-level written and verbal communication abilities
  • Exceptional attention to detail and accuracy
  • Demonstrated consistency in follow-through and execution

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