Director of Investment Adviser Compliance

Overview

The organization is seeking a Director of Investment Adviser Compliance to support and advise investment adviser clients by overseeing compliance programs for registered investment advisers, registered funds, and private funds.

This is a high-impact, client-facing leadership role for an experienced compliance professional who builds relationships, solves complex regulatory challenges, and leads engagements across a dynamic client base.

Responsibilities

• Serve as the outsourced CCO for RIAs, managing multiple client accounts across a variety of investment strategies, and provide guidance on Advisers Act, ICA, and SEC regulations
• Lead and deliver compliant programs for SEC-registered advisers
• Provide guidance, mentorship, and coaching to support team performance and professional development
• Conduct regularly scheduled calls and meetings to advise clients on regulatory best practices
• Oversee development of key compliance work products, including:
  • Written policies and procedures
  • Risk assessments
  • Compliance manuals
  • Codes of ethics
  • Compliance calendars
• Perform annual 206(4)-7 reviews examining adviser policies, procedures, and documentation
• Conduct forensic testing and ongoing compliance monitoring based on risk assessments
• Assist with regulatory filings such as Form ADV, Form PF, 13F, and fund compliance questionnaires
• Represent clients in SEC examinations and enforcement actions; develop action plans and responses
• Identify opportunities to enhance compliance services and add value for clients
• Participate in business development initiatives, conference speaking, and client meetings
• Exercise discretion and make independent judgments on matters of significance
• Stay current on regulations and compliance trends; pursue continuing education
• Embrace new initiatives and continuously enhance internal processes and workflow

Requirements

• 10+ years in investment advisory compliance consulting or in-house
• Prior experience as an RIA CCO
• Bachelor's degree required; MBA or JD preferred
• Deep expertise in Advisers Act, Investment Company Act, and SEC regulations
• Excellent written and verbal communication skills, including presentation skills
• Ability to lead calls and draft responses during SEC examinations and enforcement actions
• Existing network and business development experience
• Flexibility to work independently and in a team environment
• Dedication to ethics, integrity, and client service
• Strong interpersonal skills and ability to build effective working relationships
• Ability to collaborate with colleagues, clients, and junior team members

Preferred Qualifications

• Specific experience in asset management, hedge funds, and private equity
• Compliance certifications like IACCP or CCEP
• NFA/CFTC experience
• Speak at industry conferences; author compliance articles

Compensation & Benefits

• Salary range: $150,000 - $180,000
• Actual compensation will be determined based on experience, qualifications, and other job-related factors.
• This position may also be eligible for discretionary bonus compensation.

Employee benefits include:

• Health Insurance: covers 100% of the cost for employees
• Comprehensive selection of medical, dental, and vision health plans
• Life and disability insurance
• 401(k) savings plan
• Unlimited vacation policy
• Paid maternity and paternity leave

Location

• Candidates who can work out of our Denver office 3-5 days per week are preferred.
• Remote candidates located anywhere in the US with investment compliance experience may be considered for the right fit.
• Some periodic travel to Denver will be expected for remote hires.
• Please indicate your location and remote work interest in your application.

Equal Employment Opportunity

The employer provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, sex (including pregnancy), age, national origin, disability status, genetic information, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by applicable federal, state, or local laws. This policy applies to all terms and conditions of employment.

Application Timing

This position is expected to remain open for approximately two weeks. The posting may close sooner if the position is filled or if a sufficient number of qualified applicants are received.