Director Compliance Operations

Lead the execution, enhancement, and scalability of the firm’s compliance program across registered investment adviser and broker-dealer operations. Translate regulatory requirements into practical, operationally effective compliance solutions that support business growth while maintaining strong controls and regulatory alignment. Partner across the organization to drive compliance initiatives, oversee regulatory filings and monitoring activities, and provide strategic guidance on evolving compliance matters. Serve as a senior compliance leader and subject matter expert responsible for strengthening governance, improving operational efficiency, and supporting enterprise-wide compliance efforts.