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Compliance

Senior Compliance Officer

Blue Bell, PA

About the Role

Global Advisers is seeking a Senior Compliance Officer in Blue Bell, PA to lead significant elements of the firm's compliance program, advise business leaders on regulatory risk, and strengthen controls as the firm's services, technology, and geographic footprint evolve. The role is designed for professionals who can exercise sound judgment, work collaboratively, and maintain high standards of accuracy, client service, and professional conduct.

Responsibilities

  • Advise management and business teams on investment-adviser regulatory requirements and compliance risk.
  • Lead recurring compliance testing, policy updates, regulatory-change implementation, and issue remediation.
  • Oversee advertising review, conflicts, personal trading, books and records, privacy, cybersecurity coordination, and regulatory filings as assigned.
  • Prepare for and support regulatory examinations and information requests.
  • Assess new products, services, vendors, and workflows for compliance implications.
  • Develop practical training and escalation processes that support strong business execution.

Qualifications

  • Bachelor's degree; JD or advanced compliance credential may be advantageous.
  • Seven or more years of investment-management, RIA, securities, legal, audit, or regulatory compliance experience.
  • Strong knowledge of the Investment Advisers Act and state investment-adviser regulation.
  • Demonstrated ability to interpret rules and implement workable controls.
  • Strong writing, judgment, and senior-stakeholder communication skills.

Preferred Qualifications

  • IACCP®, JD, or prior regulatory/examination experience.
  • Experience with multi-state RIA registration, insurance-adjacent workflows, or digital marketing compliance.

Skills for This Role

Investment Adviser Compliance, Investment Advisers Act, SEC & State RIA Regulations, Regulatory Examinations, Compliance Testing & Monitoring, Regulatory Change Management, Risk Assessments, Policies & Procedures

How We Evaluate Candidates

Global Advisers operates as a meritocracy. We evaluate candidates against the requirements of the role, demonstrated capability, judgment, initiative, professionalism, and the quality of their work.

Employment Notices

Equal Employment Opportunity

Global Advisers provides equal employment opportunity to qualified applicants and employees without regard to race, color, religion, sex, pregnancy, sexual orientation, gender identity or expression, national origin, age, disability, genetic information, military or veteran status, or any other characteristic protected by applicable federal, state, or local law. Employment decisions are based on merit, qualifications, performance, and legitimate business needs. Global Advisers does not tolerate unlawful discrimination, harassment, or retaliation.

Reasonable Accommodation

Global Advisers is committed to providing reasonable accommodation to qualified applicants with disabilities during the recruiting and application process. If you need an accommodation to apply for a role, contact careers@globaladvisers.com. Requests for accommodation are considered in accordance with applicable law.

Employment Information

Role requirements, compensation, benefits, work arrangements, licensing requirements, and employment eligibility are position-specific and subject to applicable law. Any background, credential, or licensing review is conducted only as appropriate for the role and in accordance with applicable federal, state, and local requirements.