Director of Compliance

Compliance at Allied Wealth has to work in the middle of the business, not outside it. The firm is a visible, founder-led wealth and retirement planning organization with SEC RIA compliance needs, advisor activity, tax-aware retirement messaging, insurance-adjacent disclosure issues, public education, and marketing/content review all moving through the same operating rhythm.This seat is for a senior compliance operator who can own that rhythm. The practical market-facing title is Director of Compliance. Formal CCO authority is expected to remain with firm leadership; this hire is responsible for the daily compliance program that makes the standard real: calendar, testing, annual-review support, policies, procedures, books and records, evidence files, advisor/staff workflows, escalations, and review queues.You will be effective here if you can:Build and maintain compliance calendars, testing habits, documentation standards, and evidence files.Review advertising, educational content, advisor communication, and public-facing financial-services messaging with practical SEC RIA judgment.Translate requirements into workflows that advisors, operations, marketing, and leadership can actually follow.Keep a founder-led business moving responsibly without turning every issue into a legal memo.Close loops, write clearly, explain standards plainly, and create escalation habits that survive busy weeks.RequiredSenior RIA compliance, advisory compliance operations, or closely adjacent wealth-management compliance program ownershipHands-on experience with documentation, review queues, books and records, testing, annual-review support, policies/procedures, and escalation standardsComfort with insurance-adjacent, retirement-planning, tax-aware, and conflict-disclosure environmentsWillingness to work in an office in The Woodlands/Spring market.PreferredDirector of Compliance, senior compliance manager, deputy CCO, outsourced RIA compliance consultant, or senior compliance officer backgroundExperience supporting firm leadership that retains final accountability while delegating daily program executionFamiliarity with advertising rule workflows, advisor supervision, evidence retention, annual reviews, books and records, and IACCP, CRCP, Series 65, FINRA, legal, or comparable credentials when paired with practical operating judgment.Compensation is negotiable based on experience and fit.This role is probably not for you if you need final CCO authority on day one, a remote role, a large compliance staff, a clean/slow-growing enterprise org chart, or a purely consulting/advisory lane. It's a strong fit if you want functional ownership, visible standards, and the job of making compliance work inside of a large and growing wealth management and retirement planning firm.