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 be at the forefront of regulatory strategy, helping ensure our investment products 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, is a self-starter, enjoys translating complex regulations into actionable guidance, and wants to make a real impact on how we serve our clients.

What You'll Do-

Lead Reg BI Strategy : Serve as the subject matter expert on Regulation Best Interest, advising business units on how to meet and exceed regulatory expectations.

Design & Enhance Compliance Programs : Develop and refine compliance processes for investment products, trading activities, and client interactions.

Trusted Advisor to the Business : Provide proactive guidance to senior leaders, product teams, working groups, and marketing teams on regulated activities and emerging regulatory trends.

Monitor & Mitigate Risk : Conduct targeted testing, oversee internal audits, and collaborate with Risk, Legal, and Audit teams to identify and resolve compliance gaps.

Regulatory Engagement : Support regulatory exams and inquiries, prepare documentation, and represent the firm in discussions with regulators.

Training & Culture Building : Lead training initiatives to embed a culture of compliance across the organization.

Core Responsibilities

• Serves as an experienced advisor to the business, and interfaces regularly with business unit stakeholders and internal risk and compliance partners
• Manages regulatory visits, exams, inquiries and investigations within the business. Provides guidance to mitigate compliance risks and control gaps.
• Oversees the design, implementation, execution, and maintenance of compliance policies and procedures. Supports the development of new compliance standards.
• Identifies control gaps and implements corrective action plans for resolution of problematic issues.
• Manages operational efficiency. Sets measurable standards leveraging internal and external resources accordingly.
• 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.
• Undergraduate degree or equivalent combination of training and experience.
• Series 65 preferred