Compliance Manager

Dynasty Financial Partners, LLC•St. Petersburg, FL

18d

About The Position

The Compliance Manager is a client-facing role supporting the rapidly growing Dynasty Network of registered investment advisers (RIAs) with regulatory consulting and compliance support. As a people leader, this individual helps build, coach, and develop compliance personnel and assists the Chief Compliance Officer in managing and expanding a customized compliance offering based on best practices across the Network. The Compliance Manager serves as a primary resource for compliance questions from Network RIAs and within the department. The role leads and supervises compliance staff, develops compliance programs and best practices, and directs diagnostic reviews of RIA compliance programs and regulatory examinations. It also involves project management, work-product review, addressing deficiencies, training employees, supporting RIAs with SEC examinations and regulatory requests, and communicating compliance matters to the Network Compliance team and Dynasty management. Some domestic travel to Network RIA offices may be necessary.

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, provide 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.
Experience with the creation, formation, and launch of investment adviser entities.
Superior 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.
Some domestic travel to visit Network RIA offices, as necessary.

Nice To Haves

Series 65 is strongly recommended.

Responsibilities

Support the Dynasty Network of independent RIAs.
Assist Network Compliance 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 workload and capacity.
Determine and lead the development of compliance programs and best practices for the Dynasty Network of RIAs.
Coach and develop team members through training, one-on-one feedback, and formal performance reviews.
Manage process-improvement initiatives, taking the lead independently with support from the Chief Compliance Officer.
Interact with Dynasty’s compliance resource providers and help achieve quality and uniformity in deliverables.
Direct ongoing diagnostic reviews of Network RIA compliance programs and regulatory examinations, 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 examinations and other regulatory requests.
Present to large audiences in person and digitally, including at conferences, webinars, and recorded training.