Compliance Manager

Dynasty Financial Partners•St Petersburg, FL

17d

About The Position

The Compliance Manager is a client-facing, fast-paced role providing regulatory consulting and support to the growing Dynasty Network of registered investment advisers (RIAs). As a people leader, this individual helps build, coach, and develop compliance personnel and assists the Chief Compliance Officer in managing and maintaining a custom compliance offering based on best practices across the Network. The Compliance Manager serves as a go-to resource for compliance questions from Network RIAs and within the department. Some domestic travel to Network RIA offices may be required.

Requirements

Bachelor’s degree or equivalent experience.
8–10 years of experience supporting an RIA compliance program and/or working for the SEC with respect to RIAs.
At least 3 years of experience supervising or managing professional staff, with a track record of developing talent.
Strong leadership presence and ability to motivate, coach, give candid feedback, and hold others accountable.
Substantial knowledge of the Investment Advisers Act of 1940 and ERISA.
A clients-first mentality.
Familiarity with the regulatory and operational framework of RIAs.
Strong written and spoken communication skills for one-to-one and larger audiences.
Strong organizational skills.
Ability to independently take a project forward without manager intervention.
Strong attention to detail and analytical skills.
Ability to manage multiple tasks and team workloads in a fast-paced business environment.

Nice To Haves

Series 65 strongly recommended.
Experience with the creation, formation, and launch of investment adviser entities.

Responsibilities

Support the Dynasty Network of independent RIAs.
Assist the Network Compliance team’s leadership in driving the Dynasty Compliance Offering.
Lead and supervise compliance personnel, providing day-to-day direction, setting goals and expectations, delegating work, and managing team workload and capacity.
Determine and lead the development of compliance programs and best practices for Network RIAs.
Coach and develop team members through ongoing training, regular one-on-one feedback, and formal performance reviews.
Foster a team culture of accountability, quality, and continuous learning.
Project-manage process improvement initiatives and take independent lead, with support from the CCO.
Interact with Dynasty’s compliance resource providers and help ensure quality and uniformity in deliverables.
Direct ongoing diagnostic reviews of Network RIA compliance programs and regulatory exams, and review team work product.
Follow up on internal and regulatory deficiencies within the Network to ensure appropriate procedures and controls are in place.
Stay current on SEC rules and other regulations that may affect Network RIAs.
Communicate important compliance matters and other Network developments promptly to the Network Compliance team and Dynasty management.
Train internal and Network Compliance employees on compliance policies and procedures.
Assist Network RIAs with SEC exams and other regulatory requests.
Present to large audiences in person and digitally, including at conferences, webinars, and recorded training.
Travel domestically to visit Network RIA offices as necessary.