Job Description

Location: Roseland, NJ (On-Site)

The Company:

Alternative Regulatory Solutions is a national financial services advisory firm serving Municipal Advisors, Bank Dealers, Broker-Dealers, and Investment Advisors. We deliver outsourced regulatory support, ongoing surveillance, and hands-on compliance services to help firms navigate FINRA, SEC and MSRB requirements with clarity and efficiency.

We are growing and seeking a Managing Director level candidate with extensive experience with Municipal and other Fixed Income Products (BD) and the Registered Investment Advisor (RIA) regulatory frameworks. Familiarity with Municipal Advisors (MA) is a plus. This position will play a central role in shaping, enhancing, and scaling compliance and supervisory infrastructure across advisory activities, with meaningful responsibility for program design, regulatory interpretation, and execution.

The Opportunity:

The Managing Director (CCO) Role will be responsible for leading the Municipal Advisor, RIA and Broker Dealer focused compliance program at Alternative Regulatory Solutions. The position requires a professional who is comfortable operating with autonomy, managing multiple client relationships, and contributing to the continued development of the firm’s compliance platform. The ideal candidate brings strong technical judgment, practical advisory experience, and the ability to work closely with firm leadership to expand services in response to client needs and regulatory developments.

Specific responsibilities include:

• Serve as the primary compliance advisor for a portfolio of MA, BD, and RIA Clients.
• Be available to assist staff with regards to complex questions and interpretations of MSRB, SEC, and FINRA Rules.
• Partner with firm leadership to help shape and refine the firm’s MA, BD, and RIA compliance service offerings.
• Support business development through subject-matter expertise, including participation in prospect discussions, client meetings, and proposal development.
• Design, implement, and maintain RIA compliance programs in accordance with the Investment Advisors Act of 1940 
• Draft and update written supervisory procedures, surveillance programs, compliance manuals, policies, procedures, and codes of ethics tailored to client business models.
• Support clients through all phases of a FINRA or SEC examination.
• Build and maintain advanced knowledge of appropriate regulatory agency policies and procedures.

Key Qualifications:

• Bachelor’s Degree
• 10+ years of prior financial services (MA, BD, RIA or RIC) compliance or audit experience
• Demonstrated ability to design, implement, and manage written supervisory procedures, surveillance programs, compliance manuals, policies, procedures, and codes of ethics
• Strong knowledge and understanding of MSRB, FINRA, and SEC regulations as they pertain to Municipal Securities and other Fixed Income products
• Experience serving as a primary point of contact for regulatory examinations
• Experience in dealing with cybersecurity programs and vendor management a plus
• Experience leading a team
• Proficiency in the Microsoft Office Suite including Excel, Word, PowerPoint, and Outlook
• Highly organized, adaptable, and motivated while bringing a positive attitude to solve difficult problems
• Comfortable working in a small, entrepreneurial firm setting

Estimated Compensation Range: $150,000- $225,000

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