Compliance Manager, Wealth Management Firm
A growing wealth management firm is seeking a Compliance Manager to report directly to the Chief Compliance Officer and support the daily compliance program maintenance, as well as the strategic direction of the program as the firm continues to grow. The role will involve interfacing with key business leaders and managing multiple RIAs compliance needs. This role could grow into a more senior position and is part of a build-out within the compliance and corporate functions at the firm. The firm is backed by private equity and is actively expanding within the wealth management space.
Responsibilities
- Ensure compliance with SEC and state regulations (Investment Advisers Act of 1940).
- Develop, update, and enforce compliance policies and procedures.
- Prepare and file regulatory documents
- Conduct internal audits and annual compliance reviews.
- Monitor marketing materials, client communications, and performance reporting.
- Provide compliance training and guidance to staff and advisors.
- Support SEC/state examinations and implement corrective actions.
- Identify conflicts of interest and manage regulatory risks.
Requirements
- Bachelor's degree in business, finance, law, or related field (MBA/JD preferred).
- 5+ years of compliance experience in RIA or wealth management.
- Strong knowledge of SEC regulations and the Advisers Act.
- Familiarity with compliance systems and regulatory filings.
- Excellent analytical, communication, and leadership skills.
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