Advisor Growth Leader & Compliance
Denver, CO
Full Time
Manager/Supervisor
Position Title: Advisor Growth Leader & OSJ Compliance
Work Location: Denver Tech Center, Denver, CO 80237
Work Arrangement: Hybrid
Employment Type: Full-time, Salaried (Exempt), Regular Employee
Reports to: Senior Managing Director
ABOUT US
At American Portfolios Denver, we are committed to being a trusted partner in financial success. Located in the Denver Tech Center (DTC), we are a team of experienced professionals who value collaboration, integrity, and excellence. We proudly serve our affiliated advisors and their parent financial institutions, recognizing that our affiliated advisors are the primary clients of this position with exceptional financial advisory services that are rooted in integrity, expertise, and personalized care.
Our team is cohesive, collegial, fast-paced, and professional. Together, we provide our clients with an extraordinarily high level of service, reinforcing our commitment to excellence. Our guiding principles are simple: we build trusted partnerships, serve as fiduciaries, and focus on providing clarity and direction to help clients achieve financial independence and peace of mind.
POSITION OVERVIEW
As our Advisor Growth Leader and OSJ Compliance, you’ll play a critical role in overseeing compliance with industry regulations, while recruiting and retaining top-tier financial advisors, ensuring they have the support and mentorship needed to grow their businesses and maintain a strong culture of integrity.
This position is ideal for someone who enjoys working in a fast-moving, entrepreneurial environment where adaptability and quick decision-making are essential. You’ll need to be nimble—able to reprioritize in real-time as business needs evolve, balancing compliance oversight, advisor support, and firm growth initiatives. In a small-business setting, success comes from rolling up your sleeves, pivoting when necessary, and focusing on impact over bureaucracy.
Unlike large corporate firms, we avoid rigid processes and focus on what matters—supporting advisors in delivering exceptional service while keeping compliance practical and effective. We’re seeking a leader who thrives in an environment where priorities shift, challenges arise, and solutions need to come fast—without compromising trust, autonomy, and excellence.
WHY JOIN US?
We are a small yet mighty team that takes our work seriously—not ourselves. Laughter is integral to our culture, reflecting our commitment to maintaining a positive attitude in all we do. We prioritize supporting each other and our advisors with positivity and enthusiasm.
This role is ideal for someone who:
ESSENTIAL JOB FUNCTIONS
Financial Advisor Recruitment, Retention & Relationship Management (50%)
Licenses and Regulatory Knowledge (required)
The annualized compensation for this position is structured as follows:
WORK AUTHORIZATION
Applicants must be legally authorized to work in the United States without employer sponsorship, now or in the future. We do not provide sponsorship for H-1B or other work visas.
APPLICATION DEADLINE
Applications will be accepted until April 2 or until the position is filled, whichever occurs first. Please note that while the deadline is provided for transparency, we reserve the right to close the posting early if a sufficient number of qualified applications are received.
EQUAL EMPLOYMENT OPPORTUNITY & REASONABLE ACCOMMODATION
We are committed to providing equal employment opportunities to all individuals. If you require a reasonable accommodation during the application or interview process, please contact us via email at [email protected].
Work Location: Denver Tech Center, Denver, CO 80237
Work Arrangement: Hybrid
Employment Type: Full-time, Salaried (Exempt), Regular Employee
Reports to: Senior Managing Director
ABOUT US
At American Portfolios Denver, we are committed to being a trusted partner in financial success. Located in the Denver Tech Center (DTC), we are a team of experienced professionals who value collaboration, integrity, and excellence. We proudly serve our affiliated advisors and their parent financial institutions, recognizing that our affiliated advisors are the primary clients of this position with exceptional financial advisory services that are rooted in integrity, expertise, and personalized care.
Our team is cohesive, collegial, fast-paced, and professional. Together, we provide our clients with an extraordinarily high level of service, reinforcing our commitment to excellence. Our guiding principles are simple: we build trusted partnerships, serve as fiduciaries, and focus on providing clarity and direction to help clients achieve financial independence and peace of mind.
POSITION OVERVIEW
As our Advisor Growth Leader and OSJ Compliance, you’ll play a critical role in overseeing compliance with industry regulations, while recruiting and retaining top-tier financial advisors, ensuring they have the support and mentorship needed to grow their businesses and maintain a strong culture of integrity.
This position is ideal for someone who enjoys working in a fast-moving, entrepreneurial environment where adaptability and quick decision-making are essential. You’ll need to be nimble—able to reprioritize in real-time as business needs evolve, balancing compliance oversight, advisor support, and firm growth initiatives. In a small-business setting, success comes from rolling up your sleeves, pivoting when necessary, and focusing on impact over bureaucracy.
Unlike large corporate firms, we avoid rigid processes and focus on what matters—supporting advisors in delivering exceptional service while keeping compliance practical and effective. We’re seeking a leader who thrives in an environment where priorities shift, challenges arise, and solutions need to come fast—without compromising trust, autonomy, and excellence.
WHY JOIN US?
We are a small yet mighty team that takes our work seriously—not ourselves. Laughter is integral to our culture, reflecting our commitment to maintaining a positive attitude in all we do. We prioritize supporting each other and our advisors with positivity and enthusiasm.
This role is ideal for someone who:
- Thrives in a relationship-driven environment where collaboration is key.
- Wants to make a meaningful impact without corporate red tape.
- Enjoys balancing people-focused leadership with strong compliance expertise.
- Values autonomy, trust, and working with a team that prioritizes advisor success.
ESSENTIAL JOB FUNCTIONS
Financial Advisor Recruitment, Retention & Relationship Management (50%)
- Lead OSJ-level recruiting efforts, attracting advisors who align with the firm’s values and vision, while maintaining a flexible, hands-on approach based on market needs.
- Build strong, supportive relationships with advisors, offering strategic guidance, compliance support, and best practices to foster growth.
- Streamline onboarding to ensure engaging and smooth transitions for new advisors.
- Shift focus between attracting new advisors and deepening relationships with existing ones to drive ongoing success and firm growth.
- Act as a problem-solving partner to advisors, helping them navigate challenges quickly and confidently.
- Ensure compliance with Osaic (Broker-Dealer) and Novem Group (RIA) regulatory requirements, using a practical, advisor-friendly approach that supports business growth.
- Execute OSJ responsibilities, including approving transactions, reviewing correspondence, and adhering to industry regulations.
- Develop and implement compliance processes that prioritize high-risk areas while avoiding unnecessary administrative burdens.
- Serve as a go-to resource for advisors, offering guidance to navigate compliance, mitigate risks, and adapt to evolving regulatory requirements.
- Maintain agile oversight, balancing thoroughness with efficiency and responding swiftly to shifting business and regulatory needs.
- Drive efficiency by leveraging technology and automation to streamline compliance, supervisory processes, and advisor support.
- Align compliance initiatives with business objectives, collaborating with leadership to identify opportunities for continuous improvement.
- Evaluate and implement automation solutions that enhance firm operations and advisor experience, staying aligned with industry trends.
- Continuously assess and refine processes to ensure operational efficiency, simplifying oversight and removing roadblocks where possible.
Licenses and Regulatory Knowledge (required)
- FINRA Series 7, 24, and 65/63 or 66.
- Life, health, and variable insurance licenses (or obtained within 90 days of hire).
- Strong knowledge of FINRA, SEC, and financial regulatory requirements with the ability to apply them effectively in a small-business environment.
- Experience overseeing OSJ functions with a balanced, advisor-friendly approach.
- 5+ years in compliance, supervision, or a leadership role in financial services, ideally in a small or mid-sized firm.
- Proven success in recruiting, mentoring, and retaining advisors.
- Influential interpersonal skills with a genuine passion for building relationships and coaching others, while effectively engaging with a variety of personalities through clear communication and active listening, maintaining professionalism in all interactions.
- Ability to translate compliance into practical, business-friendly solutions.
- Comfortable leveraging technology to enhance compliance and business operations.
- Forward-thinking mindset with a track record of process improvements and efficiency gains.
- Demonstrate high ethical standards and an unwavering commitment to integrity and professional responsibility, consistently walking the talk through actions and behaviors.
The annualized compensation for this position is structured as follows:
- Base salary range: $110,000 - $140,000 USD
- Bonus potential: Additional earning opportunity through a performance- and recruitment-metric-based bonus
- Medical Insurance
- Life and Accidental Death & Dismemberment (AD&D) insurance
- Long-Term Disability (LTD) coverage
- 401(k) retirement plan
- Paid holidays aligned with the New York Stock Exchange (NYSE) observed calendar
- Discretionary Paid Time Off (PTO)
- Paid sick leave in accordance with Colorado’s Healthy Families and Workplaces Act (HFWA)
- Professional Development
WORK AUTHORIZATION
Applicants must be legally authorized to work in the United States without employer sponsorship, now or in the future. We do not provide sponsorship for H-1B or other work visas.
APPLICATION DEADLINE
Applications will be accepted until April 2 or until the position is filled, whichever occurs first. Please note that while the deadline is provided for transparency, we reserve the right to close the posting early if a sufficient number of qualified applications are received.
EQUAL EMPLOYMENT OPPORTUNITY & REASONABLE ACCOMMODATION
We are committed to providing equal employment opportunities to all individuals. If you require a reasonable accommodation during the application or interview process, please contact us via email at [email protected].
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