Senior Director, Front Office Advice & Guidance

DirectorDirectorFull TimeRemoteTeam 10,001+H1B SponsorCompany Site LinkedIn

Location

United States

Posted

10 days ago

Salary

$138K - $200.1K / year

Bachelor Degree10 yrs expEnglish

Job Description

• Partner with the VP of Compliance, senior leaders, and front-office executives to implement the compliance framework for EPW and EWS • Serve as the primary compliance contact for advice delivery, supervision, and client conduct matters • Provide expert interpretation and guidance on SEC, FINRA, and DOL regulations, including Regulation Best Interest and the Investment Advisers Act of 1940 • Advise business leaders on regulatory impacts of major initiatives and recommend risk-based solutions • Define and manage compliance initiatives supporting advice, distribution, and supervision functions • Coordinate across business and control partners to implement new or evolving regulatory requirements • Track open compliance issues to ensure timely resolution and escalation as needed • Communicate emerging risks, trends, and program updates to senior management and key stakeholders • Develop and maintain compliance policies, procedures, and governance frameworks for front-office activities • Represent Compliance on committees and working groups related to client advice, supervision, and service

Job Requirements

Bachelor’s degree or equivalent experience (advanced degree preferred)
10+ years of compliance experience within broker-dealer and investment advisory environments
FINRA Series 7 and 65 (or 7 and 66) plus 9/10 or 24 required, or ability to obtain within corporate timelines.
FINRA fingerprinting required
Proven experience leading compliance programs or advisory functions at a senior level
Deep understanding of SEC, FINRA, and DOL regulations and enforcement trends
Strong knowledge of advice delivery, supervision, and client interaction frameworks

Benefits

Medical, dental, vision and life insurance
Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup
Tuition reimbursement up to $5,250/year
Business-casual environment that includes the option to wear jeans
Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year
Paid volunteer time — 16 hours per calendar year
Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)
Business Resource Groups (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.