Compliance Director- Asset Management

Willenborg Wealth Management

Not specified; base salary included; discretionary...
Hybrid
Investment advisers act of 1940 knowledge
Sec and finra regulatory expertise
Compliance monitoring and testing
This role administers investment advisory-related compliance functions ensuring alignment with SEC Regulations under the Investment Advisers Act of 1940

Job Summary

  • This role administers investment advisory-related compliance functions ensuring alignment with SEC Regulations under the Investment Advisers Act of 1940.
  • The position requires leading major projects, influencing strategic direction, and resolving complex regulatory issues with substantial latitude for decision-making.
  • Candidates will benefit from a comprehensive benefits package including medical, dental, vision, life insurance, retirement savings, and paid time off.

Matching Summary

This role administers investment advisory-related compliance functions ensuring alignment with SEC Regulations under the Investment Advisers Act of 1940.

Salary

Not specified; Base salary included; Discretionary bonuses or commissions possible; Benefits package eligible

Skills & Requirements

Must-have

  • Investment Advisers Act of 1940 knowledge
  • SEC and FINRA regulatory expertise
  • Compliance monitoring and testing
  • Risk assessment and reporting
  • Strategic project leadership

Nice-to-have

  • Automation of compliance functions
  • Cross-functional collaboration skills
  • Continuing education program development
  • Fast-paced environment adaptability

Key Requirements

  • Bachelor's degree required, Master's preferred
  • Minimum 10 years compliance or legal experience
  • Minimum 5 years management experience
  • Series 7 and 66 licenses preferred

Work Rights

Not specified

Tailored Resume

Cover Letter