Regulatory Compliance Supervisor

1 week ago


St Petersburg, Florida, United States Dynasty Financial Partners, LLC Full time
Join the Team at Dynasty Financial Partners, LLC

We are excited to announce an opportunity for a Compliance Manager to become a vital part of our organization. This role is essential in providing regulatory guidance and support to our extensive network of registered investment advisers. The Compliance Manager will be instrumental in overseeing compliance initiatives and offering expert advice to our RIAs.

Key Responsibilities:

  • Support the Dynasty Network of Registered Investment Advisers
  • Design and implement compliance programs and industry best practices
  • Lead project management efforts for process enhancement initiatives
  • Collaborate with compliance resource providers
  • Oversee compliance staff and ensure effective operations
  • Stay informed on the latest SEC regulations
  • Communicate critical compliance issues to senior management
  • Provide training for internal and Network Compliance personnel
  • Assist during SEC examinations and respond to regulatory inquiries
  • Comfortably present information to large groups
  • Possess a Bachelor’s degree or equivalent professional experience
  • Have 4-6 years of experience in compliance program management
  • Demonstrate knowledge of the Investment Advisers Act of 1940
  • Exhibit strong communication and interpersonal skills
  • Showcase organizational and analytical capabilities
  • Ability to manage multiple responsibilities effectively
  • Willingness to travel domestically as required

Benefits Offered:

  • Comprehensive Health Insurance
  • Dental and Vision Coverage
  • Retirement Savings Plan (401(k))
  • 401(k) Matching Contributions
  • Generous Paid Time Off
  • Flexible Spending Account (FSA) and Health Savings Account (HSA) options
  • Disability Insurance
  • Life Insurance Options

At Dynasty Financial Partners, LLC, we are dedicated to fostering a diverse and inclusive workplace. We invite you to explore this opportunity and contribute to our thriving and dynamic industry.



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