Head of ComplianceMonorail

We’re hiring a Head of Compliance to lead our regulatory and risk management program from our Sarasota headquarters. This role will oversee all compliance activities for our RIA, ensure adherence to SEC regulations, and advise on legal implications as we expand product offerings.

You will serve as the primary liaison with regulators, manage internal policies and procedures, and help shape Monorail’s approach to ethical and compliant growth. This is a hands-on, strategic role suited for a leader who thrives in an entrepreneurial environment and shares Monorail’s mission.

• Oversee Monorail’s compliance program as a Registered Investment Advisor (RIA)

• Maintain, update, and file Form ADV and other SEC-required documents

• Develop and enforce written supervisory procedures (WSPs) and internal controls

• Review and approve marketing materials, influencer content, and public communications

• Prepare for and respond to audits or regulatory inquiries

• Monitor and interpret changes in federal and state financial regulations

• Collaborate with the CEO and product teams on strategic planning, including potential broker-dealer operations

• Conduct staff training and maintain a firm-wide compliance calendar

• High level of integrity and commitment to compliance with regulations
• Strong interpersonal and communication skills
• Ability to thrive in fast-paced, entrepreneurial environment
• Passion for values-aligned investing

Monorail is a fast-growing investment platform helping Americans align their money with their values. As a Registered Investment Advisor (RIA) with over $300 million in assets under management, we provide curated ETF portfolios, stock screening tools, and investment analysis rooted in freedom- and faith-based principles. Endorsed by influential voices like Lara Trump and Charlie Kirk.

• Competitive annual salary

• Health, vision, and dental insurance

• 401(k)

• PTO