This position can also be based in Chicago, IL Brookfield, WI, Rockville, Maryland

Job Description

A division of a large diversified firm is seeking an experienced Compliance professional. This unit focuses on providing wealth management, brokerage firms, and financial institutions with a portal/dashboard that assists with numerous regulatory and compliance requirements.

The Compliance Director is both an individual contributor and leader.  The successful candidate will have a proven track record addressing a diverse set of operational compliance issues.


Partner with the Chief Regulatory Officer by taking an active role in Wealth Management regulatory functions as it relates to proposed rules, approved rules, regulatory issues and regulatory risk.

  • Manage responses to regulatory inquiries and compliance implementation processes.
  • Review regulatory enforcement activities to assist in assessing regulatory view of risk.
  • Advocate for regulatory projects as part of demand management; working with other areas to effectively prioritize projects including partnering with colleagues in operational risk, development, and product management.
  • Own regulatory risk reporting for review by Chief Regulatory Officer.
  • Review regulatory change and manage regulatory notice log process.
  • Lead compliance team engagement and day-to-day accountabilities of the compliance team.
  • Own client communications including monthly client regulatory call and compliance bulletins.

Technical / Professional Skills & Competencies:

  • Ability to build rapport and trust with both internal and external clients.
  • Must possess a high level of integrity and professionalism, be articulate, detail-oriented and hard-working.
  • Ability to think strategically and creatively, identify and resolve compliance issues.
  • Ability to work independently and lead in a fast-paced environment, while also managing other team members.
  • Proficiency in MS Office Product Suite including ability to perform data analysis.


Certifications / Education

Bachelor’s degree

Professional Experience

Subject matter expertise in securities industry operations or operational compliance with an understanding of middle/back office regulatory issues (e.g., LOPR, Customer Protection, Net Capital, Communications to the Public, TIC Reporting, etc.).

Minimum of 5-7 years of experience in securities industry compliance or operations

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

Upload your CV/resume or any other relevant file. Max. file size: 50 MB.