Director of Compliance
$135,000–$165,000 year
On-site · El Segundo, California, United States
Job Summary
Own and continuously improve Griffin Capital’s compliance program, including policy development, risk assessment, monitoring, testing, AI governance, and internal process auditing to meet SEC/FINRA/selling group requirements. Lead regulatory examinations, investor due diligence reviews, onboarding/offboarding compliance, annual compliance testing, and approval workflows for marketing materials and external communications. Manage books/records, vendor due diligence, KYC/AML coordination, and firm-wide risk assessments. Develop and maintain AI governance and employee training programs; coordinate with Legal, Investor Relations, Finance/Accounting, IT, and Operations. Ensure readiness for SEC registration/re-registration and FINRA supervisory expectations; oversee filings (Form ADV, FINRA registrations) and compliance evidence files. Proactively identify regulatory changes and implement policy updates. Maintain compliance tools and platforms (archiving, learning platforms, governance frameworks) and supervise internal business processes to ensure adherence to firm policies and regulatory expectations.
Required Qualifications
- Bachelor’s degree required (Business, Finance, Real Estate, or related field preferred)
- FINRA Series 7, 24, and 63 required (must be active or obtained within an agreed-upon timeframe)
- 8+ years of progressive experience in investment management compliance (RIA and/or broker-dealer) or comparable regulatory/controls experience within financial services
- Experience with SEC-registered investment advisers and FINRA member firms strongly preferred
- Certification/License mastery in required financial compliance platforms and AI governance understanding
- Demonstrated ability to oversee compliance for marketing materials, investor presentations, and external communications
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