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PanAgora Asset Management · 1 month ago

Senior Director, Front Office Advice & Guidance

United States

Full-time

Remote

Senior Level, Lead/Staff

$138K/yr - $200K/yr

10+ years exp

PanAgora Asset Management is a company focused on transforming financial lives through a flexible work environment and a commitment to inclusion. The Senior Director of Front Office Advice and Guidance will serve as a compliance advisor, leading a team to ensure that the advice, sales, and service functions meet regulatory standards while providing oversight across broker-dealer and investment advisory operations.

FinanceFinancial Services

No H1B

Responsibilities

Partner with the VP of Compliance, senior leaders, and front-office executives to implement the compliance framework for EPW and EWS

Serve as the primary compliance contact for advice delivery, supervision, and client conduct matters

Provide expert interpretation and guidance on SEC, FINRA, and DOL regulations, including Regulation Best Interest and the Investment Advisers Act of 1940

Advise business leaders on regulatory impacts of major initiatives and recommend risk-based solutions

Define and manage compliance initiatives supporting advice, distribution, and supervision functions

Coordinate across business and control partners to implement new or evolving regulatory requirements

Track open compliance issues to ensure timely resolution and escalation as needed

Communicate emerging risks, trends, and program updates to senior management and key stakeholders

Develop and maintain compliance policies, procedures, and governance frameworks for front-office activities

Represent Compliance on committees and working groups related to client advice, supervision, and service

Qualification

Compliance experienceFINRA Series 7SECFINRA regulationsLeadership in complianceRisk assessmentCommunication skillsStrategic thinkingRelationship building

Required

Bachelor's degree or equivalent experience (advanced degree preferred)

10+ years of compliance experience within broker-dealer and investment advisory environments

FINRA Series 7 and 65 (or 7 and 66) plus 9/10 or 24 required, or ability to obtain within corporate timelines. FINRA fingerprinting required

Proven experience leading compliance programs or advisory functions at a senior level

Must have the ability to learn and develop a deep understanding of the business; build strong relationships through regular communication and active participation in committees and projects; and objectively assess inherent regulatory risks. This includes developing a comprehensive understanding of the control environment, accurately identifying weaknesses, measuring control effectiveness, and partnering with the business to advocate for and drive effective remediation

Deep understanding of SEC, FINRA, and DOL regulations and enforcement trends

Strong knowledge of advice delivery, supervision, and client interaction frameworks

Excellent communication and relationship-building skills across business and control teams

Strategic thinking and sound judgment in applying regulatory standards to business initiatives

Must demonstrate a “challenger” mindset and strong relationship skills to build durable, collaborative partnerships with business leaders

Preferred

Recognized as a trusted compliance advisor to senior leadership

Experience building or transforming compliance programs in dynamic business settings

Deep familiarity with compliance governance and control effectiveness assessments

Track record of identifying and remediating control weaknesses through partnership

Proven success balancing business objectives with regulatory expectations

Exceptional written and verbal communication skills for executive audiences

Benefits

Medical, dental, vision and life insurance

Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup

Tuition reimbursement up to $5,250/year

Business-casual environment that includes the option to wear jeans

Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year

Paid volunteer time — 16 hours per calendar year

Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)

Business Resource Groups (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.

Company

PanAgora Asset Management

PanAgora Asset Management is a quantitative investment manager whose proprietary approach is designed to capitalize on inefficiencies across market cycles and to deliver relative and absolute returns through distinct and innovative equity, multi-asset and risk premia strategies.

Founded in 1989

Boston, Massachusetts, USA

51-200 employees