DIRECTOR, COMPLIANCE

Cresset Capital • Denver, CO

1d • $135,000 - $175,000 • Onsite

About The Position

The Compliance Director will be the main point of contact for Compliance at Monticello to ensure our firm remains compliant with all applicable regulatory requirements, including SEC regulations and relevant laws. This is a great opportunity for a person with experience at an SEC Registered Investment Adviser (RIA) or with a regulator (SEC). The Candidate should be a proactive, resourceful, self-starter with a roll-up-your-sleeves mentality, who is extremely organized, detail-oriented, and precise, while remaining flexible to changing priorities.

Requirements

• College graduate
• Proficiency in SEC regulations, including the Advisors Act.
• 7+ years experience with an RIA
• Experience with a registered investment advisor in a compliance role.
• Exceptional organization and planning skills with ability to multi-task
• Team player
• Attention to detail and follow-through
• Versatile, flexible, and a willingness to work with changing priorities
• Strong communication, written, verbal and listening skills
• Proficiency with Microsoft Office Suite (Word, Excel, and PowerPoint, and Outlook)

Nice To Haves

• Familiar with Artificial Intelligence tools

Responsibilities

• Ensure adherence to regulatory and compliance requirements of the firm.
• Develop and maintain compliance policies and procedures.
• Review marketing materials to ensure compliance with the SEC Marketing Rule and related disclosure requirements.
• Assist with timely and accurate filing of regulatory filings (e.g., Form ADV and CRS).
• Coordinate and ensure compliance with Code of Ethics and certification requirements.
• Provide proactive guidance and training to investment consulting teams and other internal stakeholders on regulatory developments, compliance best practices, and risk mitigation strategies.
• Liaise with internal business units to conduct risk assessments.
• Conduct periodic compliance monitoring and testing and follow up on corrective actions.
• Assist with the firm’s annual review.
• Stay current on evolving regulatory requirements including changes in SEC rules, and other applicable laws.

Benefits

• The firm offers a competitive compensation package including a discretionary bonus program and a benefits package to all full-time employees including medical, dental, vision, life insurance, 401(k) retirement plan, health savings accounts, short and long-term disability insurance, voluntary critical and accident insurance, and pre-tax parking and transportation programs.

What This Job Offers

• Job Type: Full-time
• Career Level: Director