Compliance Officer
Now Hiring: Compliance Officer - Investment Management (Atlanta, GA)
Location: Atlanta, GA (On-site)
Employment Type: Full-Time
Compensation: $100,000 - $250,000 (experience-based)
About the Opportunity
Join a rapidly growing investment management firm where compliance is a strategic advantage-not a checkbox. In this role, you'll work directly with the Managing Partners and senior leadership, shaping our compliance program as we scale. If you're energized by building, improving, and partnering closely with decision-makers, this is the place to make your impact.
What You'll Do
- Lead and enhance core elements of the firm's compliance program as the organization grows
- Ensure alignment with SEC regulations and the Investment Advisers Act of 1940
- Oversee broker-dealer compliance (FINRA supervision, communications review, books & records)
- Conduct thematic testing, surveillance, and internal audits; drive remediation and follow-up
- Own key filings (Form ADV, Form CRS) and support exams and inquiries
- Review marketing, client communications, and investment content for regulatory accuracy
- Build and deliver training that raises the firm's compliance IQ
- Partner closely with Managing Partners and business leaders on initiatives that balance growth and risk
What We're Looking For
- 3-7 years of compliance experience in investment management or financial services
- Strong knowledge of SEC regulations; hands-on broker-dealer compliance experience (FINRA)
- Clear communicator with sound judgment and a strong attention to detail
- Bias for action and comfort operating in a high-growth environment
- Bachelor's degree required; JD, MBA, CFA, or IACCP is a plus
Why This Role Stands Out
- Direct access to Managing Partners-influence decisions and see your work move the needle
- High-growth platform with real opportunities to expand scope and advance your career
- Competitive compensation ($100K-$250K) + bonus potential
- Comprehensive benefits and a flexible hybrid setup
- Collaborative, values-driven culture where compliance has a seat at the table
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