Associate Director-Compliance

Highly regarded RIA is seeking a Compliance Director to join their team in their San Francisco office.Regulatory Oversight:Monitor and interpret changes to laws, regulations, and industry guidelines relevant to investment advisory firms. o Ensure compliance with SEC, FINRA, and other applicable regulatory bodies. o Oversee regulatory filings, including Form ADV, Form CRS, and other periodic pliance Program Development: o Design, implement, and enhance the firm's compliance policies and procedures. o Conduct risk assessments and ensure controls are in place to mitigate potential compliance risks. o Maintain the firm's Code of Ethics and ensure employee adherence. • Testing and Monitoring: o Develop and oversee testing, surveillance, and monitoring programs to ensure ongoing compliance. o Perform internal audits and reviews to identify potential gaps or areas for improvement.Advisory and Training:Serve as a trusted advisor to senior leadership and employees on compliance matters.Develop and deliver training programs to educate employees on compliance requirements, ethics, and best cident Management: o Investigate and resolve compliance-related incidents or breaches. o Partner with leadership to implement corrective action plans as necessary. • Records and Reporting: o Maintain accurate and up-to-date compliance records, logs, and reporting systems. o Prepare and present compliance reports to senior leadership and relevant committees. • Vendor and Third-Party Oversight: o Ensure appropriate due diligence and monitoring of third-party vendors and business partners.Qualifications4-5 years of compliance experience in financial services, preferably in investment advisory firms or private wealth management.Candidate must thrive in and be able to keep up with an ever-changing, fast paced environment • Deep knowledge of SEC regulations, including the Investment Advisers Act of 1940.Proven ability to design and implement effective compliance frameworks and controls.Experience managing regulatory examinations, audits, and inquiries.Must be able to think critically, effectively, anticipate needs and issues • Excellent written and verbal communication skills

Created: 2025-02-22