Director, Compliance

The Compliance team at Mariner helps develop the framework through which regulatory requirements are applied across the firm, including policies, training, and operational processes. Working collaboratively with teams across the organization, Compliance promotes consistency and clarity in how regulatory expectations are incorporated into day-to-day operations

The Director, Compliance is a hands-on leadership role focused on executing and improving components of the firm’s compliance program within a fast-paced registered investment adviser. Working with the Chief Compliance Officer and other compliance leaders, this role emphasizes streamlining policies, improving workflows, and reducing manual effort while supporting ongoing process and technology initiatives.

Responsibilities
• Lead execution of core compliance processes and initiatives within assigned areas, ensuring efficiency, consistency, and scalability across the organization.
• Maintain hands-on involvement in day-to-day compliance activities, providing practical guidance, issue resolution, and operational support as needed.
• Partner closely with the Chief Compliance Officer and compliance leadership to streamline policies, procedures, and workflows, driving continuous process improvement.
• Champion initiatives that reduce manual effort through enhanced documentation, technology solutions, and the adoption of digital compliance tools.
• Support the implementation and adoption of new systems, tools, and workflows that strengthen a modern, effective, and scalable compliance function.
• Manage and develop compliance associates through clear direction, ongoing feedback, and coaching, fostering a highly engaged and capable team.
• Serve as a trusted compliance resource to internal stakeholders by translating regulatory requirements into clear, actionable, and business-practical guidance.
• Provide compliance oversight for internal investment strategies, including review of processes, disclosures, controls, and regulatory filings to ensure accuracy and timeliness.

Skills
• Deep expertise in retail wealth management compliance within a dynamic RIA environment
• Proven ability to prioritize and execute effectively in fast-paced, high-growth organizations
• Process- and technology-driven mindset focused on automation, efficiency, and reducing operational friction
• Strong regulatory judgment with the ability to translate rules into practical, scalable business solutions
• Collaborative, influential communicator who partners effectively across teams to deliver clear, actionable guidance

Qualifications
• Bachelor’s degree and 8+ years of compliance experience in a large SEC-registered investment adviser or similar wealth management firm
• Strong working knowledge of investment advisory regulations and compliance oversight
• Experience improving compliance processes and leveraging technology to drive efficiency
• Law degree (JD) and/or relevant compliance certifications (preferred)

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We welcome your interest in being a part of our firm. We believe in giving associates progressive opportunities, actively nurturing professional growth and giving back to the community. We are dedicated to building a diverse culture where everyone has the support they need to achieve their career goals. We offer an innovative workplace and a culture that fosters camaraderie, teamwork and work-life balance.

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