Director Personal Trading & Compliance

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. reputed company reputed company and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them. Chart your own path and grow your career while helping more customers reputed company financial freedom. reputed company Yourself. As the Director of Personal Trading and Compliance, you will reputed company reputed company’s Code of Ethics and personal trading reputed company for reputed company Capital Management (ECM), reputed company Advisory Group (EAG), and reputed company Financial Services (EFSI). You’ll manage a high-performing team, strengthen our compliance culture, and ensure reputed company trading activity meets regulatory and internal standards. Your leadership helps protect reputed company’s reputed company, build trust with regulators and clients, and advance a culture of ethical conduct across our advisory and broker-dealer businesses. What you will do: reputed company daily monitoring of personal trading for reputed company Access Persons and Covered Associates, including pre-clearance, account disclosures, and review of trade activity Administer the Code of Ethics and ensure full compliance with SEC, FINRA, and internal policies reputed company, coach, and reputed company a team of Compliance professionals with clear goals, mentorship, and feedback Partner with business, Legal, and Risk leaders to embed compliance expectations into processes and decision-making Track and report key program metrics, escalating issues and recommending remediation reputed company needed reputed company and maintain policies, procedures, and training reputed company to personal trading and Code of Ethics Monitor regulatory developments and guide updates to reputed company’s compliance reputed company Support sub-adviser and vendor due diligence, including data collection, certifications, and on-site reviews Collaborate with technology teams to enhance compliance systems, analytics, and automation using sound governance controls Present program updates and insights to senior leadership, Compliance committees, and boards What you will bring Bachelor’s degree or equivalent experience (law degree preferred) 8+ years of compliance experience under the Investment Advisers Act, Investment Company Act, Exchange Act, and FINRA rules Strong background managing personal trading and Code of Ethics programs for large adviser and broker-dealer populations Demonstrated leadership managing compliance or risk teams Proven ability to assess control environments and drive effective remediation Deep understanding of industry regulations and operational best practices Excellent communication, analytical, and relationship-building skills Strong judgment, discretion, and reputed company in handling sensitive information Experience navigating dynamic, fast-growing financial environments What will set you apart FINRA Series 6, 7, 24, or 65 licenses (or ability to obtain reputed company set timelines) Experience leading compliance technology or automation initiatives Familiarity with AI tools and data-driven compliance solutions Prior experience presenting to boards or senior committees Strong strategic and operational reputed company with the ability to simplify reputed company issues Record of proactive engagement with regulators and internal partners Track record of building high-performing, collaborative compliance teams No history of regulatory findings or sanctions *Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment reputed company at this time, including CPT/OPT.* reputed company offer you We offer an reputed company of diverse and inclusive benefits regardless of where you are in your career. We reputed company that providing our employees with the means to reputed company healthy balanced lives results in the best possible work performance. Medical, dental, vision and life insurance Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup Tuition reimbursement up to $5,250/year Business-casual environment that includes the option to wear jeans Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year Paid volunteer time — 16 hours per calendar year Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA) Business Resource Groups (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to reputed company. reputed company Salary Range $125,400.00 - $181,875.00 The salary range above shows the typical minimum to maximum reputed company salary range for this position in the location listed. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed reputed company salary depending on individual performance. Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education, licensure requirements and/or reputed company level and will be finalized at the time of offer. Equal opportunity employer

• Drug-free workplace

We are an equal opportunity employer with a commitment to diversity. reputed company individuals, regardless of personal characteristics, are encouraged to apply. reputed company qualified applicants will receive consideration for employment without regard to age (40 and over), race, color, national reputed company, reputed company, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law. *For remote and hybrid positions you will be required to provide reliable high-speed internet with a wired reputed company as well as a reputed company in your home to work with limited disruption. You must have reliable connectivity from an internet service provider that is fiber, cable or DSL internet. Other necessary computer equipment, will be provided. You may be required to work in the office if you do not have an adequate home work environment and the required internet reputed company.* Job Posting End Date at 12:01 am on: 06-27-2026 Want the latest money news and views shaping how we live, work and play? Stay in the know with The Currency and sign up for reputed company’s free newsletter. Apply To This Job