Head of Compliance – US, Investment Advisory Firm
Miami, FL
Leonid Group is excited to partner with a leading global investment management and advisory firm to help them find their next Head of US Compliance. Based in vibrant Miami, Florida, this is an exceptional opportunity to take on a key leadership role within a respected organization.
As the Head of US Compliance, you’ll be integral to the firm's success, supporting the Managing Director of Global Compliance in overseeing the firm’s compliance programs across the globe. You’ll have the opportunity to make a significant impact while working with a dynamic team and collaborating with top professionals in the field.
The Role
As the Head of US Compliance, you will lead and manage the comprehensive compliance program for the firm’s investment advisory and broker-dealer activities, ensuring adherence to all applicable laws and regulations. Your responsibilities will include:
- Ensuring the firm’s policies and procedures are designed to prevent violations of federal securities laws, SEC, FINRA, CFTC, NFA rules and regulations, and relevant state laws.
- Overseeing all aspects of the investment adviser compliance program and the FINRA-regulated broker-dealer compliance program.
- Leading a team of compliance professionals responsible for key compliance areas such as:
- Policy administration, including developing and maintaining effective compliance policies.
- Administering the firm’s Code of Ethics.
- Monitoring sales and marketing activities for securities products and investment advisory services.
- Ensuring compliance with Global Investment Performance Standards (GIPS).
- Responding to and reporting on client, regulatory inquiries, and other compliance matters.
- Reviewing communications, including sales material, advertising, and emails.
- Managing FINRA, NFA, and state registrations for individuals and the firm.
- Handling regulatory reporting and compliance training.
- Conducting branch and non-branch location audits.
- Addressing customer complaints and managing sanctions.
- Overseeing the day-to-day operations of the compliance teams, including allocating work, managing personnel, making decisions on employment, training, professional development, performance appraisals, and compensation.
- Working closely with the Global Head of Compliance to monitor regulatory changes, assess their impact, and design strategies to ensure the firm stays compliant with evolving requirements.
- Developing and nurturing external relationships with peer organizations and industry associates.
The Candidate
The ideal candidate will have:
- A minimum of 10 years of experience in compliance, preferably within investment advisory, broker-dealer, and/or mutual fund sectors.
- A strong track record in dealing with SEC regulations and liaising with regulators.
- A Bachelor’s degree in a relevant field.
- Proven ability to manage multiple projects effectively, with strong organizational skills and attention to detail.
- Experience leading and developing teams, including performance management and career development.
- Series 7 and Series 24 licenses are preferred.
Why Join Us?
This is a fantastic opportunity to step into a leadership role with a prestigious firm that values its employees and fosters a collaborative, supportive environment. In this role, you’ll have the chance to work closely with senior leadership, make an impactful contribution to the firm’s success, and lead a highly capable compliance team.
Benefits & Perks
- Competitive compensation package
- Excellent benefits including healthcare, retirement, and more
- A dynamic and supportive work environment
- Opportunities for professional growth and development
If you’re looking for an opportunity to take your career to the next level with an innovative, respected organization, we’d love to hear from you! Apply today and join us in shaping the future of investment advisory compliance.
Leonid Group Corporate Governance is a talent acquisition consultancy that specialises in the placement of Legal, Compliance, Risk, ESG and Sustainability and Audit professionals on an international scale across the Americas, EMEA, and APAC.These are global disciplines with teams worldwide, and our network reflects this. We work with multinational corporations to help structure their departments with the best people, from the Global Chief Compliance Officer and General Counsel to the Compliance Analyst and Trade Compliance Specialist.