Compliance Manager
About The Position
This role supports the day-to-day execution of the firm’s Broker-Dealer and SEC-registered Investment Adviser compliance programs, with a primary focus on advisor licensing, registration, disclosure monitoring, and internal compliance testing. The position operates as a hands-on individual contributor and serves as a key liaison between advisors, compliance leadership, and internal stakeholders to ensure ongoing adherence to SEC and FINRA requirements. The role is designed for an experienced compliance professional who can operate independently within established frameworks, escalate issues appropriately, and contribute meaningfully to audits, examinations, and process improvements
Requirements
- Bachelor’s Degree.
- FINRA licenses: Series 24 required. Series 7/63/66 strongly preferred.
- 2-5+ years in broker-dealer and/or securities compliance.
- Experience with compliance-related systems and processes.
- Ability to coordinate across compliance, operations, and legal stakeholders.
- Experience working within multiple entities with overlapping regulators.
- Strong documentation skills supporting audit-ready records and evidence.
Responsibilities
- Run daily/weekly/monthly/quarterly surveillance queues (email/chat reviews, trade surveillance, outside accounts, gifts/entertainment logs, OBAs).
- Support audits and exams as needed.
- Support the onboarding and managing of surveillance software.
- Direct responsibility for employee onboarding including new employee training, registrations, filings.
- Support CE efforts.
- Good at “paper trail”: memos, evidence binders, audit-ready notes.
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What This Job Offers
Job Type
Full-time
Career Level
Manager
Number of Employees
11-50 employees
