Compliance Officer
Compliance Officer
Location: Alpharetta, GA (Onsite)
Compensation: $110,000 - $150,000 Base Salary + Bonus Potential
About the Opportunity
A boutique investment management firm is seeking a Compliance Officer to support and enhance its growing compliance program. This individual will work closely with senior leadership and play a key role in maintaining a strong culture of compliance across the organization.
This is an outstanding opportunity for a compliance professional who enjoys operating in a collaborative environment, partnering with business leaders, and taking ownership of a broad range of regulatory and compliance responsibilities.
Key Responsibilities
- Assist with the administration and ongoing enhancement of the firm's compliance program.
- Support compliance obligations associated with a Registered Investment Adviser (RIA).
- Conduct compliance testing, monitoring, and surveillance activities.
- Review marketing and advertising materials for regulatory compliance.
- Assist with regulatory filings, disclosures, and annual compliance reviews.
- Monitor regulatory developments and help implement necessary policy and procedural updates.
- Partner with investment, operations, and client-facing teams to provide compliance guidance.
- Support employee compliance programs, including code of ethics administration and personal trading reviews.
- Participate in regulatory examinations, audits, and information requests.
- Maintain compliance records and documentation in accordance with applicable regulations.
Qualifications
- 3+ years of compliance experience within investment management, wealth management, asset management, financial services, or a related environment.
- Experience supporting a Registered Investment Adviser (RIA) compliance program.
- Knowledge of SEC rules and regulations applicable to investment advisers.
- Strong written and verbal communication skills.
- Ability to work independently while managing multiple priorities.
- Detail-oriented with strong analytical and problem-solving skills.
Preferred Qualifications
- Experience supporting both an RIA and Broker-Dealer environment.
- Familiarity with marketing review and advertising regulations.
- Exposure to regulatory filings, compliance testing, and employee compliance programs.
- Bachelor's degree or equivalent professional experience.
- Industry licenses and/or compliance certifications are a plus.
What You'll Find
- Opportunity to work directly with senior leadership.
- Broad exposure across compliance, operations, and business functions.
- Collaborative and entrepreneurial culture.
- Competitive compensation package and benefits.
- Stable, growing investment management platform with a boutique feel.
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