Compliance
Translate regulatory requirements into practical policies, controls, supervision, and documented oversight.
Purpose and responsibilities.
Compliance supports the firm’s regulatory program through policies, monitoring, supervision, testing, filings, reviews, training, and documentation. The division works with every area of the firm to integrate regulatory requirements into normal business processes.
Policies & Supervision
Maintain policies, procedures, supervisory processes, and documentation appropriate to the firm’s activities.
Monitoring & Testing
Review business activity, communications, records, and controls to identify issues and verify that required processes are operating.
Regulatory Filings & Records
Coordinate filings, disclosures, books and records, and other regulatory documentation required for the firm’s activities.
Business & Marketing Review
Work with business teams on advertising, communications, new initiatives, conflicts, and other matters requiring compliance review.
Connected to the rest of the firm.
Compliance is most effective when it is integrated into the business. The team works with colleagues early, explains requirements clearly, documents decisions, and helps create processes that can be followed consistently.
The work requires independence and judgment. Compliance professionals must be willing to raise issues, distinguish material concerns from routine matters, and maintain complete records of the firm’s response.
Capability, judgment, and contribution.
We look for professionals who combine regulatory knowledge with careful judgment, strong documentation, and the ability to work constructively with the business.
- Experience with RIA, broker-dealer, insurance, financial-services, or related compliance can be valuable depending on the role
- Strong understanding of policies, controls, supervision, and documentation
- Analytical ability and attention to detail
- Clear written communication and confidence raising issues when necessary
- High standards for independence, confidentiality, and professional judgment
Open Compliance Roles
Current opportunities assigned to this division appear here automatically.