Iowa Licensed Compliance Director

Job Summary

A company is looking for an Assistant Director - Compliance (Broker-Dealer).

Key Responsibilities

• Serve as a compliance partner to ensure aligned, compliant delivery of retirement-focused advisory services
• Stay informed about regulatory changes and adjust compliance programs as necessary
• Develop and enhance compliance policies, procedures, and internal controls

Required Qualifications

• Bachelor's degree or equivalent experience
• 8+ years of RIA compliance experience, preferably in retirement or broker-dealer settings
• Experience with ERISA recordkeeping operations is strongly preferred
• Expertise with regulatory frameworks including Reg BI and the Investment Advisers Act of 1940
• Financial planning experience is preferred