We are seeking a highly motivated Compliance Manager to support and enhance our firm’s regulatory compliance program within a dynamic Registered Investment Adviser (RIA) environment. This role works closely with the Chief Compliance Officer (CCO) and senior leadership to ensure adherence to federal and state securities regulations while promoting a culture of compliance across the organization.

This position plays a critical role in advising the business on regulatory requirements, evaluating risk, and exercising independent judgment in the administration of the firm’s compliance program.

Key Responsibilities

• Support the design, implementation, and continuous improvement of the firm’s compliance program, including evaluating effectiveness and recommending enhancements  
• Maintain and update compliance policies, procedures, and disclosures (including Form ADV), exercising independent judgment in interpreting regulatory requirements 
• Monitor regulatory developments and assess their impact on firm operations, providing recommendations to leadership  
• Conduct compliance testing and surveillance across trading, billing, marketing, and recordkeeping  
• Utilize ComplianceAlpha to manage testing workflows, track regulatory obligations, and document results  
• Assist in regulatory filings and examinations, coordinating cross-functional responses 
• Oversee compliance with the SEC Marketing Rule  
• Support Code of Ethics administration, including personal trading and conflict analysis  
• Coordinate branch review and risk assessment programs  
• Manage compliance case workflows and referrals, including escalation to external compliance consultants  
• Serve as liaison with third-party compliance vendors and implement recommendations  
• Assist in vendor oversight and data protection efforts  
• Partner with Legal, Operations, and leadership to mitigate compliance risks  
• Support training initiatives and firm-wide compliance awareness 

Required:

• Bachelor’s degree or higher in Finance, Business, Legal Studies, or related field  
• 3–7+ years of compliance experience in an RIA or financial services firm
• Working knowledge of SEC regulations and the Investment Advisers Act 
• Strong analytical and communication skills  

Preferred:

• IACCP designation  
• Experience supporting SEC examinations  
• Familiarity with compliance technology tools  
• Experience working with compliance consultants  

Our Core Values:

• Thirst for Knowledge: You are curious and creative, always building expertise and asking the right questions.
• Innovative Problem Solver: You propose solutions, lead by example, and follow through on commitments.
• Self-Motivated: You are proactive, results-oriented, and energized by new challenges.
• Authentic: You lead with honesty and integrity in everything you do.
• Positively Impact People: You are committed to growing those around you and striving for collective success.