DIRECTOR, SENIOR COMPLIANCE
$150,000–$180,000 year
On-siteHouston, Texas, United States
Job Summary
Lead the firm's private fund and wealth advisory compliance program by coaching team members, establishing decision rights, and serving as the senior escalation point for complex regulatory matters. Provide substantive oversight and backup coverage for marketing review across both wealth advisory and private fund activities, ensuring materials adhere to the SEC Marketing Rule and fiduciary standards. Own guidance on Form ADV, Form PF, and regulatory filings while building trusted partnerships with business leaders to enable growth within compliance boundaries. Manage recurring training initiatives and maintain consistent review protocols for investor communications.
Required Qualifications
- Bachelor's degree
- 10 or more years of relevant compliance, legal, regulatory or consulting experience
- Meaningful experience with an SEC-registered investment adviser
- Significant experience supporting both private wealth investment advisory activities and private fund advisers
- Deep, hands-on experience reviewing investment adviser marketing and advertising materials under the SEC Marketing Rule
- Experience reviewing private fund performance, offering or other marketing materials
- Demonstrated experience managing, supervising, coaching or developing Compliance professionals
- Strong working knowledge of the Investment Advisers Act of 1940
- Strong working knowledge of private fund compliance obligations
- Strong working knowledge of Form ADV
- Strong working knowledge of Form PF
- Strong working knowledge of disclosures
- Strong working knowledge of conflicts
- Strong working knowledge of regulatory examination expectations
- Ability to exercise sound judgment
- Ability to make decisions with incomplete information
- Ability to communicate clear recommendations to senior professionals
- Excellent organization skills
- Excellent planning skills
- Excellent written communication skills
- Excellent verbal communication skills
- Excellent follow-through skills
- Proficiency with Microsoft Office
- Familiarity with compliance technology
- Familiarity with artificial intelligence tools
Desired Qualifications
- Law degree
- Advanced degree
- Relevant professional certification
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.