Director of Compliance

About Falcon Wealth Planning, Inc.

Falcon Wealth Planning is an award-winning, fee-only Registered Investment Advisor (RIA) headquartered in Ontario, California, serving clients nationwide. With approximately $2 billion in assets under management and an ambitious growth strategy, Falcon is on a path to become one of the premier independent wealth management firms in the country.

Our mission is simple: Help clients keep more, worry less. We believe exceptional financial planning starts with comprehensive, tax-focused advice delivered through a true fiduciary standard. Unlike traditional brokerage firms, we do not sell products or earn commissions. Every recommendation is made solely in our clients' best interests, providing objective guidance and complete transparency.

Falcon specializes in comprehensive wealth management, investment management, retirement planning, tax planning, estate planning, and financial planning for successful individuals, families, business owners, and retirees. Our advisors work collaboratively to deliver an exceptional client experience built on expertise, trust, accountability, and long-term relationships.

As we continue scaling toward $5 billion+ in assets under management, we are investing heavily in our people, technology, leadership, and operational excellence. We are building a high-performance culture where collaboration, continuous improvement, innovation, and client service are at the center of everything we do. Our team members have the opportunity to make a meaningful impact while helping shape the future of one of the fastest-growing independent RIAs in the industry.

If you're looking to join an organization that values excellence, embraces innovation, and is committed to delivering an unmatched client experience, Falcon Wealth Planning offers the opportunity to grow your career while helping clients achieve lasting financial success.

About the role

Falcon Wealth Planning is an independent, Fee-Only Registered Investment Advisor committed to delivering comprehensive, fiduciary financial planning and wealth management without commissions or product-driven conflicts of interest.

The Director of Compliance plays a critical role in managing, administering, and advancing the firm’s compliance management system. This role ensures unwavering adherence to the Investment Advisers Act of 1940, state and SEC regulatory requirements, and the strict ethical standards inherent to a true fiduciary wealth management practice.

Reporting directly to the Chief Compliance Officer, the Director will oversee day-to-day regulatory operations, execute surveillance and testing programs, lead regulatory filings, review marketing materials, and partner across advisory and operations teams to sustain a robust culture of compliance.

What you'll do

1. Regulatory Governance & Annual Review (Rule 206(4)-7)

• Maintain, test, and update the firm’s Written Supervisory Procedures (WSPs) and Compliance Manual to reflect operational changes and emerging SEC guidance.
• Coordinate the firm’s annual compliance review, performing forensic testing, risk assessments, and internal gap analyses.
• Act as a key liaison during regulatory inquiries, SEC/state examinations, and third-party mock audits.
• Monitor regulatory updates from the SEC, state regulators, and industry bodies, assessing operational impact and advising leadership on necessary adjustments.

2. Regulatory Filings & Disclosures

• Oversee the timely preparation, review, and filing of Form ADV (Parts 1A, 2A brochure, 2B brochure supplements, and Form CRS / Part 3) via the IARD system.
• Manage investment advisor representative (IAR) licensing, state notice filings, Form U4/U5 submissions, and annual renewal processes.
• Ensure accurate, timely disclosures regarding fee schedules, investment strategies, conflicts of interest, and business affiliations in strict alignment with Fee-Only guidelines.

3. Advertising & Marketing Compliance (SEC Rule 206(4)-1)

• Review and approve all external-facing materials, including website copy, podcasts, webinars, whitepapers, social media campaigns, print collateral, and public presentations.
• Ensure strict adherence to the modernized SEC Marketing Rule regarding performance reporting, testimonials, endorsements, and third-party ratings.
• Verify that marketing materials clearly and accurately represent the firm's Fee-Only, fiduciary approach without misleading performance claims or unbacked superlatives.

4. Surveillance, Monitoring & Code of Ethics Administration

• Administer the firm’s Code of Ethics, managing employee personal securities trading, pre-clearances, initial/annual holdings reports, and quarterly transaction reports.
• Monitor outside business activities (OBAs), political contributions (Pay-to-Play Rule 206(4)-5), and gifts/entertainment disclosures.
• Supervise electronic communications surveillance (emails, SMS/text messages, instant messaging, and social channels) using automated archiving and compliance software.
• Monitor billing audits to verify that management fees match client advisory agreements and ADV fee schedules without unauthorized deductions.

5. Client Onboarding, Fiduciary Oversight & Cybersecurity

• Conduct regular sampling and audit of client accounts for investment suitability, portfolio drift, documentation of fiduciary recommendations, and client mandate alignments.
• Assist in maintaining books and records compliance under Rule 204-2.
• Collaborate with IT and Operations to oversee cybersecurity compliance, Regulation S-P, identity theft prevention (Red Flags Rule), and client privacy data safeguards.

6. Training & Compliance Culture

• Design and execute ongoing compliance training programs for new hires and seasoned advisory staff.
• Provide advisory staff with practical, actionable guidance on day-to-day compliance matters, framing compliance as a business-enabling partner rather than a roadblock.
• Prepare and present periodic compliance briefings to executive leadership and department heads.

Qualifications

Education & Experience

• Bachelor’s degree in Finance, Business Administration, Pre-Law, Accounting, or a related field; Advanced degree (JD, MBA) or industry certifications (IACCP, CRCP, or CFP) preferred. Series 65 licensure required.
• 5–8+ years of direct compliance experience within an SEC-registered investment advisory firm (RIA) or compliance consulting practice.
• Demonstrated in-depth knowledge of the Investment Advisers Act of 1940, SEC examination priorities, and fiduciary standards.
• Hands-on familiarity with the nuances of a pure Fee-Only RIA model (NAPFA/fiduciary standards).

Technical & Platform Skills

• Proficiency with the FINRA/SEC IARD and CRD systems.
• Experience administering RIA compliance platforms (e.g., MyComplianceOffice, ComplySci/NRS, RIA in a Box, Orion Compliance, Smarsh, or similar archive tools).
• Working knowledge of wealth management technology ecosystems (e.g., Orion, Black Diamond, Schwab Advisor Center, Fidelity Wealthscape, Salesforce/Wealthbox).

Core Competencies

• Fiduciary Mindset: Deep dedication to client-first ethics and transparent advisory practices.
• Analytical Precision: Exceptional attention to detail in document review, regulatory filings, and forensic audits.
• Pragmatic Problem Solving: Ability to balance strict regulatory rigor with the operational realities of a growing wealth management firm.
• Collaborative Communication: Strong interpersonal skills to effectively educate, guide, and influence advisors and team members.

Compensation & Benefits

• Competitive Base Salary: $130-000-$150,000 per year
• Health Insurance: Comprehensive Medical, Dental, and Vision coverage.
• Retirement: 401(k) plan with company match.
• Paid Time Off: Generous PTO, paid firm holidays.
• Professional Development: Support for continuing education, licensing, and industry conferences.