Senior Compliance Advisor- Retail Investment Advice

Join a dynamic compliance team that's not just about rules-but about shaping the future of ethical investing. As a Senior Compliance Advisor, you'll help ensure our advisory services and business activities align with the highest standards of integrity, transparency, and client protection. This role is ideal for someone who thrives in a fast-paced environment, working closely with business partners, enjoys translating regulations into actionable guidance, and wants to make a real impact on how we serve our clients.

What You'll Do-

• Design & Enhance Compliance Programs: Develop and refine compliance processes for investment services and support regulatory advice reporting.
• Trusted Advisor to the Business: Provide proactive guidance to senior leaders, advisory teams, and marketing on regulated activities and emerging regulatory trends.
• Monitor & Mitigate Risk: Collaborate with Risk, Legal, and Audit teams to identify and resolve compliance gaps.
• Regulatory Engagement: Support regulatory exams and inquiries, prepare documentation, and assist Compliance leadership and other partners in preparing for regulator discussions..
• Training & Culture Building: Lead training initiatives to embed a culture of compliance across the organization.

• Serves as an experienced advisor to the business, and interfaces regularly with business unit stakeholders and internal risk and compliance partners.
• Participate in research, interpretation and implementation of compliance processes associated with the firm's regulatory requirements and industry best practices, including engaging other internal stakeholders in their support of same.
• Oversees the design, implementation, execution, and maintenance of compliance policies and procedures. Supports the development of new compliance standards.
• Identifies and implements corrective action plans for resolution of problematic issues.
• Participate in inspections and risk assessments, communicate findings, and facilitate the implementation of actionable items resulting from the reviews.
• Serves as an expert on compliance related issues.
• Participates in special projects and performs other duties as assigned.

• Minimum of five years' related work experience, with at least two years within a financial services compliance function.
• Strong interest in, and ability to practically apply, relevant federal securities laws and associated rules.
• Well-organized with attention to detail and strong communication skills.
• Undergraduate degree or equivalent combination of training and experience.
• Series 65 and knowledge of the Investment Advisers Act preferred