Compliance Director
Private Advisor Group
Location: Fort Mill, SC or Morristown, NJ or Remote
Private Advisor Group is looking for a talented, high-performing Compliance Director with investment advisory experience to join our Compliance Team. This position will assist the CCO is meeting regulatory and firm requirements with a focus on investment advisory compliance matters. The Compliance Director will promote our culture of compliance while supporting our mission of providing advisors with reliable and responsive support. Responsibilities of the role include performing various functions within the compliance team. This position reports to the Chief Compliance Officer and may be a remote position.
Key responsibilities in this role may include:
● Further develop a risk management framework, including expansion of a risk assessment
● Testing and monitoring of various policies and procedures within the scope of Rule 206(4)-7
● Conduct initial and periodic due diligence reviews of third-party managers
● Lead the branch examination program
● Manage the review and approval of marketing material
● Supervision of registrations
● Interact with advisors on compliance related items and provide appropriate guidance
● Assist with building reports on the compliance program
● Supervision of team members
To be successful in this role, candidates should possess:
● Minimum of 5 years of experience in investment advisory compliance.
● Working knowledge of Investment Advisers Act of 1940.
● Experience with compliance software, such as Orion/BasisCode and others.
● Series 66 (or 63 and 65) preferred.
● Compliance designations preferred.
● Exceptional organizational and interpersonal skills.
● Excellent verbal and written communication skills.
● Excellent analytical and problem-solving skills.
● Ability to work independently with attention to detail.
● Ability to travel on a limited basis, if needed.
We are a high-performing culture. Team members possess:
● The highest engagement while supporting the Private Advisor Group mission.
● The highest degree of ethics and integrity.
● A willingness to roll up their sleeves and work in a team-based environment.
● An appreciation for all aspects of diversity, including ideas, perspectives, gender and ethnicity.
● The goal to be the best at their role while being a great team member.
● An approach that supports the current processes while seeking to identify opportunities for continuous improvement.
● Trustworthiness and a spirit of doing the right thing.
● The ability to be candid, identify risks and communicate effectively.
● An internal drive that seeks to achieve high-performance in all they do.
● Connection to industry groups and others within the industry.
● Characteristics or traits include reliability and resiliency. They are prepared and ready to take on new challenges each day.
● Flexibility, are agile and willing to participate or assist with various tasks.
● Drive and determination to learn, grow and advance in their career.
● A personal mission to serve the communities in which we live and work.
About Private Advisor Group
At Private Advisor Group we believe independent advisors should have the choice to design their firms with a business model and structure that achieves their personal vision.
Today, Private Advisor Group provides services to over 750 independent advisors with over $25 billion in AUM that helps them accomplish their goals while remaining compliant in all aspects of financial planning and wealth management. Advisors who join Private Advisor Group have a shared belief in a culture of compliance, a client-first approach and a spirit of giving back to the communities in which they live and work.
In 2022, we were honored to be included on Barron’s 2022 Top 100 RIA Firms.
Private Advisor Group is an equal opportunity employer who seeks to hire high performing team members that provide a diverse perspective, insight and experience.
For additional information on Private Advisor Group, please visit our website at www.privateadvisorgroup.com