Job Description
Compliance Principal - Broker/Dealer & RIA We are seeking an experienced Compliance Principal to support a growing financial services organization with both broker/dealer and registered investment adviser operations. This role is ideal for a compliance professional who wants broader exposure across supervisory review, marketing oversight, operational support, and technology-driven process improvement. In this position, you will work closely with senior compliance leadership and play an important part in strengthening supervisory processes, supporting advisers, and helping the firm scale in a thoughtful and efficient way. The right candidate will bring strong regulatory judgment, excellent communication skills, and the ability to thrive in a collaborative, fast-moving environment. Role Highlights p]:pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Work directly with senior compliance leadership on program development and oversight. p]:pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Support a broad range of functions beyond traditional compliance, including operations and technology initiatives. p]:pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Help improve and scale internal processes and supervisory controls. p]:pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Contribute to vendor oversight, regulatory risk management, and exam readiness. p]:pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Have visibility across the organization and influence how the firm grows. Key Responsibilities p]:pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Review and approve advertising and marketing materials to help ensure alignment with FINRA, SEC, and state requirements. p]:pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Provide practical compliance guidance to advisers and internal teams. p]:pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Conduct risk-based supervisory reviews and support heightened oversight activities when needed. p]:pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Assist in maintaining and improving written supervisory procedures and related compliance documentation. p]:pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;">