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Operations and Compliance Director

4 months ago

Dallas, United States Strategic Wealth Designers Full time

Are you a seasoned leader compliance professional with a passion for ensuring regulatory adherence in a dynamic and fast-paced environment? Do you excel within the operations space and optimizing policies and procedures while fostering a positive and supportive workplace culture? Are you driven by details and solving problems cross-departmentally? If so, we want to hear from you


Strategic Wealth Designers (SWD) is a full-service financial firm specializing in assisting clients near or in retirement. With a dedicated team of advisors, marketers, and client relations specialists, we prioritize success and reward hard work. SWD values a close-knit, collaborative environment and seeks individuals who bring a positive attitude and a commitment to excellence. As we continue to grow, we are looking for a Chief Compliance Officer (CCO) to join our team and ensure that our firm operates in compliance with all regulatory requirements while maintaining our exceptional work culture.


Job Description

Strategic Wealth Designers is seeking an Operations and Compliance Director to lead our firm. In this role, you will develop and implement compliance programs, ensuring adherence to industry regulations and best practices, manage back-office operations within the firm, optimizing policies and processes and quickly resolving issues. As a key member of our leadership team, you will provide strategic guidance and oversight to maintain the highest standards of integrity and ethics across our operations, ensuring compliance with all regulatory requirements, sound operations and a cohesive team and organization.


Responsibilities/Tasks:

  • Develop, implement, and oversee all aspects of the company's compliance program to ensure adherence to regulatory requirements and industry best practices.
  • Lead back office administrative functions and operations
  • Manage trade corrections and ensure accuracy in all trading activities.
  • Oversee IAC/PSR approvals and FINRA U4 filings.
  • Manage licensing requirements and any other compliance obligations not covered by KBC.
  • Provide strategic guidance and oversight to maintain the highest standards of integrity and ethics across all aspects of our operations, including compliance with regulatory requirements related to billing processes.
  • Conduct regular compliance audits and assessments to identify areas of improvement and implement corrective actions as needed.
  • Oversee compliance operations related to advisor tasks, including training, licensing, and ongoing regulatory requirements, to ensure our team operates within legal and ethical guidelines.
  • Serve as the primary point of contact for regulatory inquiries and examinations, coordinating responses and ensuring timely resolution of any issues.
  • Foster and manage the strategic relationship with Charles Schwab, including appointing new advisors, overseeing trading activity, and addressing high-level issues and opportunities.
  • Collaborate with other departments to integrate compliance considerations into business processes and initiatives.
  • Provide Leadership, Accountability and Direction within the firm and guidance for the Leadership Team
  • Oversee various additional back-office responsibilities to support the overall compliance and operational functions.


Minimum Requirements:

  • Bachelor's degree in finance, business administration, legal studies, or a related field; advanced degree or relevant certifications preferred.
  • Proven track record of developing and implementing effective compliance programs and procedures.
  • Excellent ability to manage details
  • Ability to lead and hold others accountable
  • Ability to optimize processes and lead initiatives around those processes
  • Excellent communication and interpersonal skills, with the ability to effectively interact with regulators, senior management, and staff at all levels.
  • Experience in managing regulatory examinations and inquiries, including preparing responses and implementing remediation plans.
  • Familiarity with risk assessment methodologies and mitigation strategies.
  • Ability to analyze complex regulatory issues and provide practical guidance and solutions.
  • Proficiency in Microsoft Office Suite and Salesforce.


Additional Preferred Skills:

  • A background in EOS (Entrepreneurial Operating System)
  • Progressive experience in a compliance role within the financial services industry, preferably at a Registered Investment Advisor (RIA) firm or fiduciary.
  • Strong understanding of SEC and FINRA regulations governing RIAs, as well as knowledge of relevant state regulations.
  • Certified Regulatory Compliance Manager (CRCM), Certified Securities Compliance Professional (CSCP), or other relevant compliance certifications.
  • Extensive experience with compliance management software and systems.
  • Demonstrated ability to effectively lead and manage a team, promoting a culture of excellence and accountability.
  • In-depth knowledge of investment advisory platforms and technologies.
  • Strong analytical and problem-solving abilities, with a proactive and solution-oriented approach.
  • Ability to adapt to a fast-paced and dynamic environment, with a commitment to continuous learning and professional development.
  • Experience in conducting compliance training programs for employees at all levels.
  • Familiarity with cybersecurity regulations and best practices for protecting client data.
  • Knowledge of financial planning software and tools.


Compensation: Starting salary range is $175k- $225k. Also included are full medical/dental/vision benefits, 401k plan with company match, a generous PTO schedule, and 11 paid holidays including your birthday

Location: Dallas, TX


Want to know what we are like~


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