Director, Compliance - Remote
Mariner Wealth Advisors
The Director, Compliance is a leadership role with accountability to oversee the firm's programs, policies and practices for regulatory compliance and risk mitigation for functional areas of its subsidiary registered investment advisors. The Director, Compliance will bring valuable expertise and a strength of understanding and communication of complex compliance matters in a direct and simple manner. The Director, Compliance will have strength in team management and associate development to strengthen the compliance team in support of future growth and expansion.
If you are looking to build your career with a firm that puts the client first by providing 360° advice designed to last, then Mariner Wealth Advisors is the right firm for you. We actively nurture the next generation of professionals, give back to the community and focus on building a diverse culture where everyone genuinely loves where they work and has the support needed to meet their career goals.
Responsibilities
Accountable for the execution of compliance initiatives, including department strategic and tactical goals as well as overall assessment of firm regulatory risk
Through thoughtful and effective communication, provide clear guidance and advice to firm leadership and associates, proactively develop strong business relationships and assist with matters presented for consideration within area of focus as well as report on a regular basis relevant information to departmental leadership regarding progress on monthly, quarterly and/or yearly objectives identified through the strategic planning process
Develop and manage an effective and high-performing team through communication, performance management, development plans and recognition practices
Cultivate a team-oriented compliance culture for efficiently and effectively managing compliance throughout the organization, including collaboration and partnership with the compliance team and Chief Compliance Officer
Work with team to design, implement and periodically update compliance and other organizational policies, procedures and systems to detect and deter violations of internal policies and applicable regulatory requirements
Engage with the team on and oversee the creation and maintenance of training programs for compliance team and other associates to ensure policy and procedure communications are coordinated and effective
Direct and oversee maintenance and development of compliance policies, procedures and framework required to address firm regulatory risk and ensure the company remains in compliance with the requirements of all relevant rules and regulations
Direct and oversee reviews of marketing and communications, including creation and maintenance of a streamlined system for review and approval of materials and responsibility for ensuring the program continues to meet changing regulatory requirements
Direct and oversee compliance aspects of diligence and assessment of investment offerings, including development of training programs, risk reviews, oversight requirements and disclosure updates
Conduct continuing assessments of team performance and engage with manager to develop strategic planning related to future team growth in order to maintain an effective compliance program in light of anticipated firm growth
Provide support to compliance team members as necessary in areas including training, marketing review, oversight and regulatory reporting
Qualifications
Bachelor's degree
5 years of related experience, including with a large SEC-registered investment adviser, within the investment advisory division of the SEC or as an associate of a law firm specializing in the investment advisory industry
Skills & Knowledge
Knowledge of sophisticated investment offerings, including alternatives, crypto assets and other emerging products
Mariner Wealth Advisors is a top-ranked, national wealth advisory firm with locations across the United States. Our mission to put our clients’ interests first drives everything we do.
We welcome your interest in being a part of our firm. We believe in giving associates progressive opportunities, actively nurturing professional growth and giving back to the community. We are dedicated to building a diverse culture where everyone has the support they need to achieve their career goals. We offer an innovative workplace and a culture that fosters camaraderie, teamwork and work-life balance.
EOE/M/F/D/V
#LI-REMOTE
Barron’s awarded the 2021 and 2020 #5, 2019 #4 and 2018 #3 Top RIA Firms rankings to Mariner Wealth Advisors based on data compiled for Mariner Wealth Advisors and the 2017 #2 and 2016 #1 rankings to Mariner Holdings based upon data compiled for Mariner Holdings’ registered investment adviser subsidiaries. The number of firms included in the rankings were: 20 (2016), 30 (2017), 40 (2018), 50 (2019) and 100 (2020 and 2021). Barron’s publishes rankings based upon a number of criteria and the firms’ filings with the SEC were used to cross-check the data provided. The listing includes numbers of clients, employees, advisors, offices and state locations. The award is not indicative of future performance and there is no guarantee of future investment success. For additional information visit www.barrons.com.