Compliance Director

About You

• Strategic Leader: You bring a proactive, forward-thinking approach to compliance, balancing regulatory requirements with business objectives while building scalable programs that support growth.
• Trusted Advisor: You navigate complex regulatory challenges with sound judgment, integrity, and a solutions-oriented mindset, building strong relationships across teams and leadership.
• Collaborative Coach: You inspire accountability, develop high-performing teams, and thrive in a dynamic environment where partnership, continuous improvement, and operational excellence are essential.

The Role

We’re looking for a strategic, results-driven compliance leader to join our Compliance team. You’ll oversee day-to-day compliance operations across our wealth management advisory and private fund businesses, lead and develop the Compliance team, and serve as a senior advisor on regulatory matters. You’ll play a critical role in supporting acquisitions, strengthening risk management practices, and advancing a proactive, scalable compliance program that supports NorthRock’s continued growth. The ideal candidate thrives in a collaborative, evolving environment and is known for sound judgment, strong leadership, and the ability to translate complex regulatory requirements into practical business solutions.

What You’ll Do

• Lead daily compliance operations, providing direction, coaching, and development to the Compliance team while establishing priorities, accountability, and performance expectations.
• Serve as the senior deputy to the CCO, providing leadership continuity, supporting regulatory communications, and contributing to executive-level compliance and risk reporting.
• Lead compliance due diligence and integration for acquisitions, identifying regulatory risks, overseeing advisor and client transitions, and ensuring successful post-close implementation and remediation.
• Oversee regulatory filings, including Forms ADV, PF, 13F, 13H, and N-PX, as applicable, ensuring accuracy, completeness, and timely submission.
• Direct SEC examination readiness, internal reviews, and mock audits, coordinating regulatory responses, identifying gaps, and overseeing corrective actions.
• Lead annual compliance risk assessments, testing, and monitoring activities across advisory operations, private funds, trading, fee billing, and other key business functions.
• Oversee Code of Ethics administration, including personal securities transactions, outside business activities, gifts and entertainment, and related compliance requirements.
• Provide strategic compliance guidance to business leaders, evaluating emerging risks, regulatory developments, new investment products, and technology and AI initiatives.
• Oversee private fund compliance, including regulatory disclosures, reporting requirements, marketing reviews, and coordination of audit deliverables.
• Direct compliance reviews of marketing materials, client communications, social media, and digital content in accordance with the SEC Marketing Rule.
• Lead compliance training, employee education, policy development, and ongoing enhancements to internal controls and procedures.
• Drive continuous improvement through compliance technology, automation, risk dashboards, and scalable processes that strengthen efficiency and support firm growth.

What You Bring

• Bachelor’s degree in finance, compliance, pre-law, or a related field, or equivalent relevant experience.
• 8–10 years of progressive compliance experience in financial services, including required experience with an SEC-registered investment adviser (RIA).
• Demonstrated people management experience, including leading compliance professionals, developing talent, and driving accountability for results.
• Strong knowledge of the Investment Advisers Act of 1940, SEC regulations, and the SEC Marketing Rule.
• Experience overseeing private fund compliance, regulatory examinations, risk assessments, compliance testing, policy development, and remediation.
• Required experience leading compliance due diligence and integration for RIA acquisitions or advisor transitions.
• Strong analytical, problem-solving, and project management skills, with the ability to assess risk, communicate tradeoffs, and deliver practical solutions.
• Excellent written and verbal communication skills, sound judgment, professionalism, and the ability to influence stakeholders at all levels.
• Proficiency with Microsoft Office, compliance management systems, and CRM platforms such as Salesforce, with an interest in AI-enabled compliance and automation tools.
• Industry certifications such as IACCP®, CRCP®, or CSCP®, and Series 65, preferred.
• Ability to travel up to 15% for office reviews and industry conferences.
• Must be authorized to work in the United States.
• Successful completion of a credit and criminal background check is required.

Compensation & Benefits

The estimated base salary range for this role is $144,000 – $198,000 per year. Compensation is based on job-related knowledge, skills, experience, and geographical work location. This role may also be eligible for variable pay (bonuses, commissions, incentives). Benefits include a company-funded ESOP, strong retirement plans, tuition reimbursement, comprehensive healthcare/dental/vision coverage, and generous PTO.

About NorthRock Partners

At NorthRock Partners, we help people reach their potential through impactful advice. Our Personal Office® model delivers integrated financial and lifestyle guidance tailored to each client’s unique goals.

NorthRock Partners is proud to be an equal opportunity employer. All qualified applicants will receive consideration without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, veteran status, or any other characteristic protected by law.

We are committed to providing reasonable accommodation throughout the application and employment process. For assistance, contact PeopleTeam@NorthRockPartners.com.