Director, Regulatory Advisory Compliance

Location: Owings Mills, Maryland, United States; hybrid schedule with up to one day per week from home.

Base salary: $143,000–$245,000 annually for Maryland, Colorado, Washington, and remote workers. Other listed ranges are $158,000–$269,000 for Washington, D.C. and $179,000–$306,000 for New York and California.

Company

Global asset management organization providing equity, fixed-income, multi-asset, and investment advisory solutions to individuals, advisers, institutions, and retirement plan sponsors.

What you will do

• Lead a team of Compliance professionals, setting priorities, allocating work, coaching associates, and developing team capabilities.
• Provide regulatory guidance and independent oversight for investment advisory products, emerging wealth capabilities, and strategic initiatives.
• Evaluate advice offerings across client journeys, fees, disclosures, technology, investment methodologies, operations, supervision, and controls.
• Assess cross-entity and cross-regulatory impacts involving investment advisers, broker-dealers, retirement businesses, affiliates, custodians, recordkeepers, sub-advisers, and other providers.
• Review regulatory documents, advisory agreements, disclosures, policies, governance materials, examination responses, and implementation decisions.
• Lead risk assessments, monitoring, testing, training, regulatory change, examinations, audits, remediation, and cross-functional governance initiatives.

Requirements

• Bachelor’s degree or equivalent education and experience, plus 10+ years in investment adviser compliance, financial services regulatory compliance, Legal, regulatory risk, consulting, or a related discipline.
• Series 7, 65, and 24 licenses; FINRA licenses are required and supported for this role.
• Experience supporting SEC-registered investment advisers and client-facing advisory solutions, with strong knowledge of the Investment Advisers Act of 1940 and related SEC regulations.
• Experience with managed accounts, wrap-fee programs, financial planning, retirement and workplace advice, digital or hybrid advice, tax-aware investing, and integrated wealth management solutions.
• Understanding of intersections among advisory, broker-dealer, and retirement regulations across multiple legal entities, products, client segments, distribution channels, and third parties.
• Ability to draft and review Form ADV filings and brochures, advisory agreements, client disclosures, policies, procedures, and regulatory examination responses.

Nice to have

• 5+ years of people leadership experience and a record of building high-performing teams.
• Experience supporting both registered investment adviser and broker-dealer businesses.
• Experience in large, multi-entity financial services organizations and with third-party advisers, sub-advisers, custodians, or recordkeepers.
• Experience with SEC or FINRA examinations, internal audits, investigations, or significant remediation efforts.
• Relevant professional certifications, legal credentials, or advanced compliance designations.

Culture & Benefits

• Hybrid work schedule with up to one day per week from home.
• Annual bonus eligibility and a retirement plan.
• Health and wellness benefits, including online therapy.
• Paid time off for vacation, illness, medical appointments, and volunteering.
• Family care resources, including fertility and adoption benefits.
• Inclusive workplace focused on collaboration, equal opportunity, and diversity of thought.