Senior Director, Front Office Advice & Guidance
Location
United States
Posted
11 hours ago
Salary
$138K - $200.1K / year
Bachelor Degree10 yrs expEnglish
Job Description
• Partner with the VP of Compliance, senior leaders, and front-office executives to implement the compliance framework for EPW and EWS
• Serve as the primary compliance contact for advice delivery, supervision, and client conduct matters
• Provide expert interpretation and guidance on SEC, FINRA, and DOL regulations, including Regulation Best Interest and the Investment Advisers Act of 1940
• Advise business leaders on regulatory impacts of major initiatives and recommend risk-based solutions
• Define and manage compliance initiatives supporting advice, distribution, and supervision functions
• Coordinate across business and control partners to implement new or evolving regulatory requirements
• Track open compliance issues to ensure timely resolution and escalation as needed
• Communicate emerging risks, trends, and program updates to senior management and key stakeholders
• Develop and maintain compliance policies, procedures, and governance frameworks for front-office activities
• Represent Compliance on committees and working groups related to client advice, supervision, and service
Job Requirements
- Bachelor’s degree or equivalent experience (advanced degree preferred)
- 10+ years of compliance experience within broker-dealer and investment advisory environments
- FINRA Series 7 and 65 (or 7 and 66) plus 9/10 or 24 required, or ability to obtain within corporate timelines.
- FINRA fingerprinting required
- Proven experience leading compliance programs or advisory functions at a senior level
- Deep understanding of SEC, FINRA, and DOL regulations and enforcement trends
- Strong knowledge of advice delivery, supervision, and client interaction frameworks
Benefits
- Medical, dental, vision and life insurance
- Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup
- Tuition reimbursement up to $5,250/year
- Business-casual environment that includes the option to wear jeans
- Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year
- Paid volunteer time — 16 hours per calendar year
- Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)
- Business Resource Groups (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.
