{"id":123508,"date":"2026-07-24T17:34:02","date_gmt":"2026-07-24T17:34:02","guid":{"rendered":"https:\/\/www.taylorroot.com\/job\/director-of-compliance\/"},"modified":"2026-07-24T17:34:03","modified_gmt":"2026-07-24T17:34:03","slug":"director-of-compliance-123508","status":"publish","type":"job_listing","link":"https:\/\/srgroup.highrise.digital\/zh-hans\/job\/director-of-compliance-123508\/","title":{"rendered":"Director of Compliance"},"content":{"rendered":"<p>A growing organization is seeking a senior compliance professional to help expand its services within the registered investment adviser and wealth management space. This individual will play a key role in advising clients, shaping strategic initiatives, supporting business growth, and helping develop scalable solutions for a broad range of compliance needs.<\/p>\n<\/p>\n<p>This position is well suited for a compliance leader who enjoys balancing client engagement, practice development, and team leadership within an entrepreneurial environment.<\/p>\n<\/p>\n<h2>Responsibilities<\/h2>\n<ul>\n<li>Develop and maintain relationships with clients, industry professionals, and strategic partners.<\/li>\n<li>Monitor regulatory and industry developments affecting investment advisers and provide practical guidance on emerging compliance considerations.<\/li>\n<li>Partner with organizational leadership on strategic initiatives, service enhancements, and long-term business objectives.<\/li>\n<li>Advise clients on regulatory matters impacting investment advisers and wealth management firms.<\/li>\n<li>Support growth initiatives through relationship development, networking, and new business opportunities.<\/li>\n<li>Provide oversight and direction on complex compliance projects and client engagements.<\/li>\n<li>Help establish scalable processes, resources, and methodologies to support client service delivery.<\/li>\n<li>Recruit, mentor, and develop compliance professionals as the team expands.<\/li>\n<li>Assist clients with examination preparedness, regulatory matters, and ongoing compliance program administration.<\/li>\n<li>Review client deliverables to promote consistency, accuracy, and quality.<\/li>\n<\/ul>\n<h2>Requirements<\/h2>\n<ul>\n<li>Extensive experience supporting registered investment advisers, wealth management firms, or related financial services organizations.<\/li>\n<li>Demonstrated success leading, expanding, or enhancing a compliance program, advisory practice, or business function.<\/li>\n<li>Strong working knowledge of the Investment Advisers Act and related regulatory obligations.<\/li>\n<li>Experience interacting with regulatory agencies, examinations, audits, or compliance reviews.<\/li>\n<li>Ability to cultivate and maintain strong relationships with clients, business partners, and stakeholders.<\/li>\n<li>Experience contributing to business development, practice growth, client acquisition, or revenue-generating initiatives.<\/li>\n<li>Strong communication, leadership, and strategic thinking skills.<\/li>\n<li>Comfortable balancing leadership responsibilities with direct involvement in client matters.<\/li>\n<li>Prior experience in a senior compliance leadership role, regulatory environment, consulting practice, or advisory setting is highly preferred.<\/li>\n<\/ul>\n<p>The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.<\/p>\n<p>Please note that your personal information will be treated in accordance with our <a href=\"https:\/\/www.thesrgroup.com\/privacy-policy\/\">Privacy Policy<\/a>.<\/p>\n<p><img decoding=\"async\" src=\"https:\/\/counter.adcourier.com\/aHdlbmR0LjY4NDU1LjEyOTU4QHNyZ3JvdXAuYXBsaXRyYWsuY29t.gif\"><\/p>\n","protected":false},"author":231,"featured_media":0,"template":"","meta":{"_acf_changed":false,"_cn_metabox_post_checkbox_dont_send_once":false,"_cn_metabox_post_checkbox_dont_send_ever":false,"_promoted":"","_job_location":"Charlotte, North 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