Director of Compliance

Griffin Capital Company•El Segundo, CA

20h•$135,000 - $165,000•Hybrid

About The Position

Owns and continuously improves the firm's compliance program, including policy development, risk assessment, monitoring, testing, training, AI governance, and internal process auditing required to meet applicable SEC (including Investment Advisers Act requirements if/when SEC-registered), FINRA, and selling group requirements. Serves as the firm's senior compliance subject-matter expert and primary point of contact for regulatory examinations and investor due diligence reviews. Partners closely with the Chief Legal Officer, SVP of Fund Formation & Due Diligence, Investor Relations, Finance/Accounting, Marketing, Sales, and IT.

Requirements

8+ years of progressive experience in investment management compliance (RIA and/or broker-dealer), or comparable regulatory/controls experience within financial services.
Direct experience with SEC-registered investment advisers and FINRA member firms strongly preferred.
Experience with real estate fund structures, selling group distribution models, and investor due diligence processes is a plus.
Bachelor’s degree required (Business, Finance, Accounting, Real Estate, or related field preferred).
FINRA Series 7, 24, and 63 required (must be active or obtained within an agreed-upon timeframe).
Additional licenses (e.g., Series 66) a plus.
Advanced proficiency in Microsoft Office (Excel, Word, PowerPoint).
Demonstrated ability to evaluate, implement, and administer compliance technology platforms (e.g., Global Relay/archiving tools, ComplySci/Red Oak, document management systems).
Understanding of emerging AI governance frameworks applicable to financial services.

Nice To Haves

Experience with real estate fund structures, selling group distribution models, and investor due diligence processes is a plus.
Additional licenses (e.g., Series 66) a plus.

Responsibilities

Own and conduct ongoing communication supervision (email, messaging and social media, as applicable), including review queues, evidence capture, escalation, and retention in the firm’s archive and applicable reporting to third-party managing broker dealer.
Lead the firm's response to regulatory examinations and third-party due diligence reviews, including directing document production, managing response timelines, drafting narratives, and coordinating across departments. Escalate substantive legal interpretations and enforcement-related matters to the Chief Legal Officer.
Manage all onboarding/offboarding compliance requirements, including Form U4/U5 processing (if applicable), required attestations and acknowledgements, access-person designation, and required disclosures/training.
Design and execute the annual compliance testing calendar, including advertising/communications, gifts & entertainment, outside business activities, political contributions, personal trading, best execution oversight, and vendor due diligence. Document findings, track remediation to closure, and report results to senior leadership and the Chief Legal Officer.
Serve as the compliance approver for all marketing materials, investor presentations, websites, and external communications, ensuring compliance with applicable requirements (including the SEC Marketing Rule where applicable) and internal policies. Maintain the review and approval workflow, require appropriate disclosures, and retain evidence of all reviews.
Maintain required books and records, including compliance logs, testing evidence, approvals, certifications, and retention schedules in coordination with Legal/Operations/IT.
Own the annual compliance review, including conducting the firm-wide risk assessment, updating policies and procedures, gathering and organizing evidence, and presenting findings and recommendations to senior leadership and the Chief Legal Officer for approval.
Partner with Investor Operations on investor onboarding compliance workflows (e.g., KYC/AML coordination with third-party providers where applicable), sanctions/OFAC screening processes, and escalation protocols.
Serve as a day-to-day administrator for compliance tools and vendors (e.g., archiving/surveillance, learning/CE platforms, compliance tracking), including user access, workflow updates, and document retention configuration in partnership with IT.
Develop and maintain the firm's AI governance and acceptable-use framework, including policies governing employee use of generative AI tools, vendor AI risk assessment protocols, data privacy and confidentiality safeguards, and ongoing monitoring of AI-related regulatory developments (SEC, FINRA, and state-level) that may affect the firm's operations or investor-facing activities.
Design, implement, and continuously enhance the firm's compliance training curriculum, including content development, delivery scheduling, completion tracking, and effectiveness assessment. Oversee all managing broker-dealer and FINRA continuing education requirements for licensed employees.
Conduct periodic audits of internal business processes, including travel and entertainment expenditures, procurement and vendor selection, and other operational workflows to ensure compliance with firm policies, regulatory expectations, and internal controls. Identify gaps, recommend enhancements, and track remediation in coordination with Finance/Accounting and Operations.
Determine which financial industry rules, requirements and regulations are applicable to the Company, monitor any changes thereto and confirm Company compliance on an ongoing basis.
Maintain the firm's ongoing readiness for SEC registration/re-registration and FINRA supervisory expectations, including ownership of policies/procedures updates, required filings (Form ADV, FINRA registrations), disclosure maintenance, and regulatory evidence files. Coordinate with the Chief Legal Officer on registration strategy and material regulatory changes.

Benefits

100% company paid individual Medical and Dental Insurance.
100% company paid individual Life and Long- and Short-Term Disability Insurance.
401(k) plan with up to 4% matching and full vesting.
Flexible time off (FTO)
A yearly Birthday Holiday and paid time off for community service.
State of the art onsite gym.
Company funded Lifestyle Spending Account.
Access to other health and tax-advantaged benefits.
Hybrid work options specific to roles
Employee-led professional development program
Community involvement through its Griffin Care and Community Committee.