Associate Director, Compliance

What You'll Do

• Data Analysis - Systematically collect, interpret, and utilize data to ensure compliance. Analyze data to identify trends, patterns, and anomalies that could impact compliance. Use data insights to assess regulatory requirements, identify risks, and recommend improvements. Create detailed reports and visualizations to communicate findings. Support the development and execution of data strategies to enhance compliance insights and decision-making
• Regulatory Research - Investigate, analyze, and interpret laws, regulations, and industry guidelines to support enterprise compliance. Monitor and evaluate legal and regulatory changes, assessing their potential impact on business operations and compliance programs. Research regulatory standards and best practices, contributing insights to enhance policy development and operational alignment. Communicate research findings and compliance requirements clearly to stakeholders across business units. Contributes to research prioritization and strategy, helping guide focus areas based on risk, regulatory trends, and business needs. Support the development and execution of regulatory change management processes, ensuring timely and effective implementation.
• Risk Management - Conduct risk assessments to identify potential compliance issues. Facilitate reporting of compliance risks across business units and geographies. Evaluate scenarios to determine the best course of action and offer strategic advice. Lead implementation of oversight programs to monitor and mitigate compliance risks. Review and approve deliverables using a risk-based approach to decision-making to support business goals while ensuring compliance with regulatory requirements and company policies.
• Communications/Reporting - Lead the development and execution of external communication strategies related to compliance matters, ensuring alignment with enterprise-wide messaging and brand standards. Serve as a key liaison with regulatory bodies, industry groups, and external stakeholders to advocate for the organization’s position on emerging regulatory issues. Collaborate with senior leadership to shape and deliver consistent, enterprise-level compliance messaging across business units and external platforms. Establish and oversee the communication and reporting strategy for compliance initiatives, ensuring timely, transparent, and effective dissemination of information to internal and external audiences.
• Process Improvements - Evaluate current compliance processes to identify inefficiencies and areas for improvement. Design and implement enterprise-wide or business unit compliance programs, policies, and controls that ensure regulatory adherence and support strategic business objectives. Lead and manage change initiatives to enhance compliance processes. Regularly monitor and review compliance activities for effectiveness. Collaborate with stakeholders to help ensure process improvements align with organizational goals.

Who You Are

• 8+ years of relevant financial services experience demonstrated through one or a combination of the following: work experience, training, military experience or education
• 2+ years previous compliance, risk management, legal or regulatory experience
• Series 3 required
• Series 30 is preferred
• Previous compliance experience within financial services industry required
• Familiarity with financial service products, markets, laws and regulations (SEC/FINRA/state/federal, AML, KYC, GDPR)
• Proficiency working with Microsoft Office suite
• Strong written and verbal communication skills
• Excellent organizational and attention to detail skills
• Advanced analytical and problem-solving skills
• Strong consulting and relationship building skills
• Ability to work independently and in team environment
• Must be comfortable providing consultation to various organizational levels
• Must display high level of professionalism and ability to explain complex information
• Strong business focus and client orientation
• Ability to manage expectations and handle multiple projects
• Travel, including overnight stays, may be required periodically
• This position may require successful completion of a criminal background check.

Salary Range Information

Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.

Salary Range (Non-Exempt expressed as hourly; Exempt expressed as yearly)

$127000 - $171000 / year

Time Off Program

Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take time away from the office with pay for vacation, personal or short-term illness. Employees don’t accrue a bank of time off under FTO and there is no set number of days provided.

Pension Eligible

No

Posting Window

We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline.

Original Posting Date

9/25/2026

Most Recently Posted Date

9/25/2026

 

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