The salary range for this role is $120,000-$150,000 depending on experience.n n Abacus is a progressive financial planning firm devoted to helping people expand what’s possible with money.
We treat each other with the same level of care and respect we treat our clients
– it’s why we offer unlimited vacation, flexible work hours (and location), six months of paid parental leave, and more.n nWe’re looking for a Director of Compliance to manage our regulatory compliance, legal, and M&A due diligence activities.
If you’re someone who geeks out every time a new regulation is published and is fluent in legalese
– we’re looking for you!n n What You’ll Do:n n You’ll own all regulatory compliance matters, especially SEC regulations and all required government and FINRA filings.
You’re the first (and frequently last) point of contact for all regulatory agencies, and wow, do they love you.
Oversight of employee activity also falls into your domain.
You’ll develop internal processes to ensure that all of our people do the right thing and do it efficiently.
You have eyes in the back of your head
– metaphorically (or literally, we don’t judge)
– so you know when things are starting to drift before anyone else.
As the one responsible for internal (as well as external) audits, you know what needs attention and aren’t afraid to take timely corrective action, and you aren’t afraid to speak up to leadership when necessary.
You would never let us sign a contract before you have the chance to ensure that it not only is in the best interest of Abacus, but also in the best interest of our team, our clients, and our community.
This includes vendor contracts, our internal operating agreement, equity purchase documents between our partners, and M&A agreements.
Speaking of M&A, you’re a critical part of our M&A team, focused on making sure that everything a potential merger partner says is true (i.e.
Due Diligence!) You’re a people-person.
You can collaborate with the SEC just as easily as you can lead a compliance training for our employees that gets a standing ovation.
You can ask impertinent questions of our potential merger partners and by the end of the conversation, you’re their new best friend.n Must-Haves:n n 5-10 years of experience in compliance, preferable within an RIA or other heavily regulated industry.
Bachelor’s Degree Deep understanding of regulatory agencies (specifically the SEC) and the financial services industry as a whole.
An understanding and appreciation of our Core Values
– we hope you live and breathe them like we do.
We’re a certified B Corp committed to people and planet.
If you dig those things, too, you belong with us!n Icing on the Cake:n n An advanced degree or certification in Accounting, Finance, Law, Business, Management, or a related area.n Powered by JazzHRn noPMyFeGL5D