Director - Compliance

Reports To: Managing Director - Compliance


Position Summary 

This position is responsible for the quality control and economic outcome of each project executed in the Compliance practice. Directors are recognized as experts in all aspects of client service and are the mentors of team leaders. Directors provide leadership in engagements by managing team members and expert affiliates, including but not limited to project execution and management. The Director will assist in developing the Compliance practice through the development of thought leadership and participation at industry events. Directors also help Business Development to identify opportunities and participate in proposals and sales pursuits, and are also accountable for assistance in achieving practice revenue goals. They maintain relationships with the firm’s existing client base in an effort to solicit new projects and help the BD team land new clients. Individuals in this position must possess effective communication skills and the ability to be an industry thought leader in order to further the development and expansion of the Bates Group brand and services. Directors are recognized by clients as experts and may be called upon to fill the role of an expert.

core skills and knowledge base 

  • At least Deputy Chief Compliance Officer-level knowledge of and experience with Registered Investment Advisors and Broker-Dealers, including:

    • Assisting with the administration of annual compliance reviews, mock audits, expense allocation review, and other regulatory and operational compliance reviews.

    • Assisting with responses to regulatory bodies, including SEC audits.

    • Drafting and editing Written Supervisory Procedures and/or Policies and Procedures.

    • Development of new policies, training, controls, and governance processes and testing programs in response to regulatory change.

    • Managing a variety of large-scale compliance-related lookback projects, such as clearing backlogs of customer complaints, correspondence reviews, etc.

  • The demonstrated ability to independently project manage and deliver high-quality client work product on a portfolio of large and small compliance-related projects.

  • The demonstrated ability to independently create, write, and edit compliance-related work product (e.g., exam findings reports, etc.) in a manner that provides clear, actionable recommendations to clients.

professional background required 

  • 15+ years of experience in a Registered Investment Advisor, Broker-Dealer, or dually-registered entity functioning in a compliance-related role.

  • Prior experience in a consulting role (internal or external) with the ability to provide samples of written work product preferred.

To apply please email your resume to:


About Bates Group:

Bates Group LLC has been a trusted partner to our financial services clients and their counsel for over 30 years, delivering superior quality and results on a cost-effective basis. Bates provides a comprehensive set of compliance, regulatory, and risk management products and consulting services along with continuing guidance and support tailored to the specific needs and requirements of our broker-dealer, IA, and hedge fund clients, with a special emphasis on conducting comprehensive reviews and testing of AML compliance programs.

Please send your resume to if you are interested in joining our rising force of analysts, experts and consultants.