Compliance Manager

JOB OVERVIEW:

A client-facing and fast-paced role, the Compliance Manager will provide regulatory consulting and support to the rapidly growing Dynasty Network of registered investment advisers (RIAs). As a key people leader, the Compliance Manager will be expected to help build, coach, and develop the compliance personnel who support the department. This individual will be instrumental in assisting the Chief Compliance Officer in managing and maintaining the build out of a custom compliance offering leveraging the best practices utilized within the Dynasty Network of RIAs. The Compliance Manager will be viewed as a “go to” person when compliance questions arise from Network RIAs and within the department.

Responsibilities

• Support the Dynasty Network of independent RIAs
• Assist the leadership of the Network Compliance team in driving the Dynasty Compliance Offering
• Lead and supervise compliance personnel who support the department, providing day-to-day direction, setting clear goals and expectations, delegating effectively, and managing team workload and capacity
• Determine and lead in the development of compliance programs and best practices for the Dynasty Network of RIAs
• Coach and develop team members through ongoing training, regular one-on-one feedback, and formal performance reviews, fostering a culture of accountability, quality, and continuous learning within the team
• Project management of process improvement initiatives, taking independent lead with support from CCO
• Interact with Dynasty’s compliance resource providers and assist in achieving quality and uniformity in the deliverable
• Direct ongoing diagnostic reviews of Network RIA compliance programs and regulatory exams, and review team work product
• Follow up on internal and regulatory deficiencies within the Network to ensure proper procedures and controls are in place for Network teams
• Keep up to date on SEC Rules and other regulations that may impact the Network RIAs
• Communicate important compliance matters or other Network developments in a timely manner to the Network Compliance team and Dynasty management
• Train internal and Network Compliance employees on compliance policies and procedures
• Assist Network RIAs with SEC exams and other regulatory requests
• Presenting to large audiences in person and in digital forms including but not limited to conferences, webinars, and recorded training