Director, Managed Compliance Services

Location: Holbrook, NY (4 days onsite required)

Asgard 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.

Asgard 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.

• Lead day-to-day compliance program management for broker-dealer and RIA clients
• Act in a lead capacity on client engagements and support or serve in a fractional/delegated CCO role, as appropriate
• Interpret and apply FINRA rules, SEC regulations, and the Advisers Act of 1940
• Support and lead FINRA, SEC, and state regulatory examinations, including mock exams and regulator interaction
• Conduct 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 controls
• Draft and maintain WSPs, compliance manuals, AML programs, and business continuity plans
• Oversee electronic communications surveillance and exception escalation
• Review and approve marketing materials and regulatory filings
• Manage Code of Ethics programs, including personal trading, OBAs, pay-to-play, and gifts & entertainment
• Prepare and deliver Annual Compliance Meetings and training programs
• Execute and manage CRD/IARD/EDGAR filings (Form BD, U4/U5, BR, ADV, etc.)
• Coordinate with third-party vendors and internal stakeholders
• Monitor regulatory developments and advise clients on impact and required changes

• 7–10 years of broker-dealer compliance experience (RIA experience strongly preferred)
• Active Series 7 and Series 24 licenses required
• Strong working knowledge of:
• FINRA rules and supervisory frameworks
• SEC regulations, including the Advisers Act of 1940
• Regulatory exam processes and expectations
• Experience supporting or participating in FINRA and/or SEC examinations
• Proven ability to interpret regulations and apply them in practical business contexts
• Excellent written, verbal, and client-facing communication skills
• Highly organized with the ability to manage multiple clients and deadlines
• Self-starter with the ability to operate independently while collaborating with a broader team

• Prior experience in a consulting or multi-client environment
• Experience with alternative investment managers (private equity, hedge funds, venture capital)
• CCO or deputy CCO experience
• CAMS or other relevant certifications

• Must be able to commute to Holbrook, NY 4 days per week
• Fast-paced, client-driven environment with direct exposure to senior leadership and regulators
• Role operates under the oversight of Asgard senior leadership, with increasing autonomy based on performance and demonstrated regulatory judgment

• Base Salary: $150,000 – $180,000 (commensurate with experience)
• Bonus: discretionary, based on individual and firm performance
• Additional Upside: Opportunity for increased compensation tied to acting in a fractional outsourced CCO capacity, client responsibility and growth
• Full benefits package including health, retirement, and expense reimbursement