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Director of Compliance

GemHarvest Executive Recruiting

Providence, RI · $120k–$150k a year · Posted November 4, 2026

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AI use among managers, all other is little observed so far. Measured exposure for managers, all other: 7% (little observed).

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About the job

...Southeastern Connecticut A well-established, independent wealth management firm with over $1B in AUM is seeking an experienced compliance... ...term career growth. What You'll Do Lead SEC/FINRA compliance, regulatory filings, audits, and supervisory oversight Strengthen policies...