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
