Compliance Manager
Compliance Manager
Location: Alpharetta, GA (On-Site)
Compensation: $130,000 - $160,000 Base Salary + Bonus
A growing financial services organization is seeking a Compliance Manager to join its team in Alpharetta, GA. This individual will play a key role in supporting and enhancing the firm's compliance program, with a particular focus on broker-dealer activities and fixed income products.
This is an excellent opportunity for a compliance professional looking to take ownership of regulatory initiatives while partnering closely with business leaders, legal teams, and senior management.
Key Responsibilities
- Support and oversee the firm's broker-dealer compliance program.
- Monitor regulatory developments and ensure adherence to applicable SEC, FINRA, and other regulatory requirements.
- Provide compliance guidance related to fixed income products, trading activities, and business operations.
- Assist with regulatory examinations, inquiries, and audits.
- Develop, review, and maintain compliance policies, procedures, and controls.
- Conduct compliance testing, monitoring, and risk assessments.
- Partner with stakeholders across the business to identify and mitigate compliance risks.
- Deliver compliance training and regulatory guidance to employees.
- Assist with regulatory filings and reporting obligations as needed.
Qualifications
- 5+ years of compliance experience within a broker-dealer, investment firm, or financial services environment.
- Strong knowledge of FINRA and SEC regulations.
- Experience supporting fixed income trading, products, or capital markets activities.
- Familiarity with compliance monitoring, surveillance, testing, and regulatory examinations.
- Excellent communication and relationship-building skills.
- Ability to work independently in a fast-paced environment.
Preferred
- FINRA licenses (Series 7, 24, or similar) are a plus.
- Experience working directly with traders, sales teams, or front-office personnel.
- Bachelor's degree or equivalent industry experience.
What You'll Get
- Competitive base salary of $130,000 - $160,000
- Annual performance bonus
- Strong benefits package
- High-visibility role with direct exposure to leadership
- Opportunity to make a meaningful impact within a growing organization
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