Director, Compliance
Avantax
Location: Dallas, TX or Remote
Position Summary
The Director of Compliance will play an integral role within the organization by working across teams and subject matters to ensure program compliance with federal and state statutory, regulatory, and internal policies. The priorities for this position are driving the design and implementation of Avantax’s compliance infrastructure program along with the development of Avantax’s internal control plans. This position will serve as the point person for regulatory and corporate compliance activities, including research, review of relevant policies, procedures, statutes and regulations, and monitoring activities to ensure the ongoing compliance of Avantax’s existing and developing programs. Additionally, the Director of Compliance will be involved in supervising and leading the day-to-day needs of compliance staff and being a proponent for professional development. The position will also be responsible for liaising and communicating with internal and external stakeholders.
Essential Duties & Responsibilities
The major responsibilities of the position are listed below. To perform the job successfully, the individual must be able to execute each essential duty satisfactorily. Reasonable accommodation may be made to enable individuals with disabilities to perform essential functions.
Provides advice and guidance on a range of complex compliance issues by maintaining proficient knowledge of firm products and activities, as well as applicable regulations and guidance of the FINRA, the SEC, and other regulatory authorities.
Monitors and analyzes new or amended regulatory compliance requirements and advises on enhancements to operationalize the changes.
Plans and directs the completion of periodic compliance risk assessments and recommends control enhancements, testing, training, and/or other compliance activities to address residual risk levels.
Leads the design, development, and completion of gap and current state assessments, compliance testing, and compliance monitoring routines.
Evaluates, drafts, and advises on the development of compliance-related policies.
Prepares and delivers written and oral presentations to varied audiences.
Coaches and mentors Compliance team members at various levels of experience.
Leads or contributes to Compliance strategic initiatives.
Other job duties as defined
Please e-mail melissa.loner@avantax.com.