Director of Compliance

Mission Wealth Management Lp

Job Location:

Santa Barbara County, CA - USA

Monthly Salary: Not Disclosed

Posted on: 12 hours ago

Vacancies: 1 Vacancy

Job Summary

As a Barrons Top 100 RIA firm and voted Best Places to Work by Fortune Pacific Coast Business Times Inc. (Best Workplaces) and Investment News Mission Wealth is hiring a growth-minded Director of Complianceto join our award-winning team! If you are ready to elevate your career in a leading wealth management company with a commitment to giving back to the community and expanding nationally lets go! Our ideal candidate is a compliance professional with hustle and a couple of years of experience working in a leadership-level compliance role. This individual will enhance and scale the firms compliance program ensuring rigorous controls strong risk management and seamless partnership with advisory operations and leadership teams. You define ambition have a sense of adventure and a passion for purpose both in life and in your approach to managing compliance-related issues. If you can articulate your proven success in compliance and regulatory requirements we want to hear from you ASAP!

Mission Wealth has offered 360-degree wealth management services to affluent families since 2000. Our dynamic planning process ensures that every piece of the puzzle is put into place as our clients lives unfold and their needs evolve. This gives them the complete picture and confidence in their financial future.

Key Responsibilities as Director of Compliance:

Regulatory Program Management

Develop maintain and audit compliance policies procedures manuals and supervisory frameworks.
Lead routine compliance monitoring across SEC Advisers Act obligations including: trade surveillance personal trading review gifts & entertainment conflicts privacy marketing and records retention.
Direct annual and interim compliance reviews testing cycles and audits.
Oversee Form ADV filings updates disclosures and related reporting.
Partner with the CCO to maintain the firms annual compliance calendar.

Risk Assessment & Internal Controls

Conduct enterprise-level compliance risk assessments.
Design and implement risk mitigation strategies monitoring tools and control frameworks.
Support incident reporting documentation remediation and follow-up testing.

Regulatory Exams & External Relations

Coordinate SEC and state regulatory examinations requests and responses.
Manage preparation document collection and remediation initiatives.
Serve as a point of contact for regulators auditors and outside counsel.

Compliance Operations & Project Leadership

Lead compliance initiatives related to new products services technology and geographic expansion.
Drive firmwide adoption of regulatory changes (e.g. Advertising Rule Form CRS privacy rules).
Manage compliance onboarding procedures for acquisitions new advisor teams and new offices.
Enhance compliance automation and workflow systems.

Training & Cross-Department Collaboration

Develop and deliver firmwide training on regulatory requirements ethics and compliance best practices.
Partner with operations advisory marketing and HR to ensure alignment with compliance controls.
Provide real-time guidance to advisors planners and leadership.

What You Bring as Director of Compliance:

5-10years proven experience in aDirector of Compliance role ideally within wealth management
Preferred Credentials: CRCM CAMS IACCP Securities registrations (Series 65 7 24) a plus JR or legal/regulatory background strongly preferred but not required.
Deep knowledge of the SEC Advisers Act rules and industry regulations.
Experience supporting or leading regulatory exams.
Proven track record of building and enhancing compliance programs at scale.
Capable of driving major compliance initiatives with minimal supervision.
Excellent attention to detail multi-tasking and time management skills
Strong written and verbal communication skills required.
Outstanding ability to communicate and work collaboratively
High ethical standards and sound professional judgment.

Job Type: Full-time salaried exempt

Location: This position is based out of any of our offices. This is a hybrid position requiring a minimum of 2 days per week in the office

Salary: $180000 plus annual bonus paid in quarterly increments. Total Comp: $215000 annually

Please submit your cover letter and resume outlining your detailed experience of proven success within wealth management to Tina Kunzeat . Be sure to share one of your favorite volunteer projects too! We offer a competitive salary team-based compensation plan defined pathways to equity partner in the firm medical/dental/vision benefits 401(k)/Profit Sharing Volunteer Time Off (VTO) Family Medical Leave (FMLA) Sabbaticals wellness benefits and ongoing educational reimbursements.

Required Experience:

Director

As a Barrons Top 100 RIA firm and voted Best Places to Work by Fortune Pacific Coast Business Times Inc. (Best Workplaces) and Investment News Mission Wealth is hiring a growth-minded Director of Complianceto join our award-winning team! If you are ready to elevate your career in a leading wealth ma...