HiringCafe
Posted 1mo ago

DIRECTOR, COMPLIANCE

@ Cresset
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Denver, Colorado, United States
$135k-$175k/yrOnsiteFull Time
Responsibilities:Ensuring regulatory compliance, Developing policies and procedures, Training teams on compliance
Requirements Summary:Senior-level compliance lead with SEC regulatory experience, college graduate, 7+ years with an RIA, strong communication and organizational skills, MS Office proficiency, familiarity with AI tools.
Technical Tools Mentioned:Microsoft Office Suite, Artificial Intelligence tools
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Job Description

About Monticello

Monticello Associates, LLC is an investment consulting firm serving foundations, endowments, and family office clients in an investment advisory capacity. The firm is headquartered in Denver, Colorado, with additional offices in Cleveland, Ohio, Washington, D.C., and Boston, Massachusetts. Our firm provides clients with manager due diligence and selection, asset allocation strategy recommendations, performance reporting, and all other necessary functions required to support clients in their role as fiduciaries.

In 2025, Monticello partnered with Cresset, an independent multi-family office and private investment firm. This combination brings together Monticello’s deep experience in endowment and foundation consulting with Cresset’s scale, comprehensive family office services, and private market access. The result is a powerful combination of institutional rigor and boutique personalization, opening new and exciting career opportunities for our team.

Job Description

The Compliance Director will be the main point of contact for Compliance at Monticello to  ensure our firm remains compliant with all applicable regulatory requirements, including SEC regulations and relevant laws. This is a great opportunity for a person with experience at an SEC Registered Investment Adviser (RIA) or with a regulator (SEC).  The Candidate should be a proactive, resourceful, self-starter with a roll-up-your-sleeves mentality, who is extremely organized, detail-oriented, and precise, while remaining flexible to changing priorities.

Key Responsibilities

  • Ensure adherence to regulatory and compliance requirements of the firm.
  • Develop and maintain compliance policies and procedures.
  • Review marketing materials to ensure compliance with the SEC Marketing Rule and related disclosure requirements.
  • Assist with timely and accurate filing of regulatory filings (e.g., Form ADV and CRS).
  • Coordinate and ensure compliance with Code of Ethics and certification requirements.
  • Provide proactive guidance and training to investment consulting teams and other internal stakeholders on regulatory developments, compliance best practices, and risk mitigation strategies.
  • Liaise with internal business units to conduct risk assessments.
  • Conduct periodic compliance monitoring and testing and follow up on corrective actions.
  • Assist with the firm’s annual review.
  • Stay current on evolving regulatory requirements including changes in SEC rules, and other applicable laws.