Director of Compliance

Mission Wealth Management LP•Scottsdale, AZ

11d•$180,000 - $215,000•Hybrid

About The Position

As a Barron’s Top 100 RIA firm and voted Best Places to Work by Fortune, Pacific Coast Business Times, Inc. (Best Workplaces), and Investment News, Mission Wealth is hiring a growth-minded Director of Compliance to join our award-winning team! If you are ready to elevate your career in a leading wealth management company with a commitment to giving back to the community and expanding nationally, let’s go! Our ideal candidate is a compliance professional with hustle and a couple of years of experience working in a leadership-level compliance role. This individual will enhance and scale the firm’s compliance program, ensuring rigorous controls, strong risk management, and seamless partnership with advisory, operations, and leadership teams. You define ambition, have a sense of adventure, and a passion for purpose, both in life and in your approach to managing compliance-related issues. If you can articulate your proven success in compliance and regulatory requirements, we want to hear from you, ASAP! Mission Wealth has offered 360-degree wealth management services to affluent families since 2000. Our dynamic planning process ensures that every piece of the puzzle is put into place as our clients’ lives unfold and their needs evolve. This gives them the complete picture and confidence in their financial future.

Requirements

5-10+ years proven experience in a Director of Compliance role, ideally within wealth management
Deep knowledge of the SEC Advisers Act rules and industry regulations.
Experience supporting or leading regulatory exams.
Proven track record of building and enhancing compliance programs at scale.
Capable of driving major compliance initiatives with minimal supervision.
Excellent attention to detail, multi-tasking, and time management skills
Strong written and verbal communication skills required.
Outstanding ability to communicate and work collaboratively
High ethical standards and sound professional judgment.

Nice To Haves

Preferred Credentials: CRCM, CAMS, IACCP, Securities registrations (Series 65, 7, 24) a plus, JR or legal/regulatory background strongly preferred but not required.

Responsibilities

Develop, maintain, and audit compliance policies, procedures, manuals, and supervisory frameworks.
Lead routine compliance monitoring across SEC Advisers Act obligations, including: trade surveillance, personal trading review, gifts & entertainment, conflicts, privacy, marketing, and records retention.
Direct annual and interim compliance reviews, testing cycles, and audits.
Oversee Form ADV filings, updates, disclosures, and related reporting.
Partner with the CCO to maintain the firm’s annual compliance calendar.
Conduct enterprise-level compliance risk assessments.
Design and implement risk mitigation strategies, monitoring tools, and control frameworks.
Support incident reporting, documentation, remediation, and follow-up testing.
Coordinate SEC and state regulatory examinations, requests, and responses.
Manage preparation, document collection, and remediation initiatives.
Serve as a point of contact for regulators, auditors, and outside counsel.
Lead compliance initiatives related to new products, services, technology, and geographic expansion.
Drive firmwide adoption of regulatory changes (e.g., Advertising Rule, Form CRS, privacy rules).
Manage compliance onboarding procedures for acquisitions, new advisor teams, and new offices.
Enhance compliance automation and workflow systems.
Develop and deliver firmwide training on regulatory requirements, ethics, and compliance best practices.
Partner with operations, advisory, marketing, and HR to ensure alignment with compliance controls.
Provide real-time guidance to advisors, planners, and leadership.