What are the responsibilities and job description for the Director of Compliance position at GemHarvest Executive Recruiting?
Director of Compliance
$1B AUM Independent Investment Management Firm
Rhode Island / Southeastern CT
Overview
A long-established and trusted independent wealth management firm is seeking a knowledgeable and proactive Director of Compliance to oversee and strengthen its SEC regulatory program. This is a hands-on leadership role in a collaborative, high-integrity environment, suited for a compliance professional who thrives in a small firm culture and is equipped to contribute immediately and drive meaningful impact.
Highlights
- Lead the firm’s internal SEC compliance program and collaborate closely with external consultants and legal advisors
- Review and maintain all regulatory policies and procedures, including code of ethics, cybersecurity, and recordkeeping
- Monitor marketing, communications, and advisor activity to ensure alignment with SEC and Reg BI requirements
- Manage regulatory filings, client disclosures, trade corrections, and complaint logs
- Coordinate quarterly compliance committee meetings and assist in firmwide continuing education
- Work side-by-side with the Managing Partner and serve as a thought partner on regulatory best practices
Requirements
- Bachelor's Degree
- 5 years of RIA or hybrid firm compliance experience; SEC oversight preferred
- Strong grasp of relevant regulations including Reg BI, PTE, and supervisory frameworks
- Series 24 or willingness to obtain; Series 9/10 also considered
- Independent, detail-oriented, and culturally aligned with small firm teamwork and integrity
Salary : $100,000 - $130,000
