Director, Managed Compliance Services

Title: Director, Managed Compliance ServicesLocation: Holbrook, NY (4 days onsite required)About Asgard Regulatory Group, LLCAsgard Regulatory Group, LLC (“Asgard”) is a high-growth compliance consulting firm serving broker-dealers, investment advisers, and alternative investment managers. We provide practical, senior-level regulatory guidance that goes beyond technical compliance—helping clients mitigate risk, operate efficiently, and remain fully exam-ready.Our team is composed of seasoned professionals with deep regulatory experience, and we are known for delivering tailored, high-impact solutions across complex regulatory environments.Role OverviewAsgard is seeking a Director, Managed Compliance Services to lead client engagements across broker-dealer and RIA compliance programs. This individual will operate with a high degree of independence, managing day-to-day compliance functions, advising clients on regulatory matters, and supporting regulatory examinations.This role is designed for a hands-on leader who can own execution and client relationships, while continuing to develop into a fully independent fractional Chief Compliance Officer (CCO) over time.The position requires strong judgment, attention to detail, and the ability to interpret and apply FINRA rules and SEC regulations in real-world scenarios.Key ResponsibilitiesLead day-to-day compliance program management for broker-dealer and RIA clientsAct in a lead capacity on client engagements and support or serve in a fractional/delegated CCO role, as appropriateInterpret and apply FINRA rules, SEC regulations, and the Advisers Act of 1940Support and lead FINRA, SEC, and state regulatory examinations, including mock exams and regulator interactionConduct and oversee:Annual Compliance Reviews (SEC Rule 206(4)-7)AML Independent Testing (FINRA Rule 3310)Supervisory Control Reviews (FINRA Rule 3120)Develop, implement, and test compliance programs, policies, and internal controlsDraft and maintain WSPs, compliance manuals, AML programs, and business continuity plansOversee electronic communications surveillance and exception escalationReview and approve marketing materials and regulatory filingsManage Code of Ethics programs, including personal trading, OBAs, pay-to-play, and gifts & entertainmentPrepare and deliver Annual Compliance Meetings and training programsExecute and manage CRD/IARD/EDGAR filings (Form BD, U4/U5, BR, ADV, etc.)Coordinate with third-party vendors and internal stakeholdersMonitor regulatory developments and advise clients on impact and required changesQualifications7–10 years of broker-dealer compliance experience (RIA experience strongly preferred)Active Series 7 and Series 24 licenses requiredStrong working knowledge of:FINRA rules and supervisory frameworksSEC regulations, including the Advisers Act of 1940Regulatory exam processes and expectationsExperience supporting or participating in FINRA and/or SEC examinationsProven ability to interpret regulations and apply them in practical business contextsExcellent written, verbal, and client-facing communication skillsHighly organized with the ability to manage multiple clients and deadlinesSelf-starter with the ability to operate independently while collaborating with a broader teamPreferred QualificationsPrior experience in a consulting or multi-client environmentExperience with alternative investment managers (private equity, hedge funds, venture capital)CCO or deputy CCO experienceCAMS or other relevant certificationsWork EnvironmentMust be able to commute to Holbrook, NY 4 days per weekFast-paced, client-driven environment with direct exposure to senior leadership and regulatorsRole operates under the oversight of Asgard senior leadership, with increasing autonomy based on performance and demonstrated regulatory judgmentCompensationBase Salary: $150,000 – $180,000 (commensurate with experience)Bonus: discretionary, based on individual and firm performanceAdditional Upside: Opportunity for increased compensation tied to acting in a fractional outsourced CCO capacity, client responsibility and growthFull benefits package including health, retirement, and expense reimbursement