Compliance & Operations Manager

Larch Capital Partners Llc•Miami, FL

30d•Onsite

About The Position

Reporting directly to the COO, the Compliance & Operations Manager, to oversee day-to-day operational execution and internal compliance routines while supporting our outsourced Chief Compliance Officer (CCO). This role is responsible for ensuring that operational, administrative, HR-coordination, and client onboarding processes are executed accurately, documented properly, and aligned with regulatory and internal requirements. This is a hands-on management role responsible for execution, coordination, and process oversight — not for acting as the firm’s CCO or setting compliance policy. This role embraces the following duties and responsibilities: Compliance Execution Execute internal compliance routines in accordance with the firm’s compliance program and policies. • Serve as the primary day-to-day liaison with the outsourced CCO. • Maintain compliance logs, certifications, attestations, and supporting evidence. • Coordinate annual compliance tasks (training, code of ethics acknowledgements, risk assessments, testing support). • Assist with regulatory exams, audits, and inquiries by gathering documentation and coordinating responses. • Track regulatory deadlines and ensure timely internal preparation (ADV updates, filings support, recordkeeping). This role does not sign filings, approve compliance policy, or act as the designated CCO Client Onboarding & KYC Operations • Oversee and manage the client onboarding process from documentation through account opening. • Ensure completeness and accuracy of KYC, AML, suitability, and client agreements. • Coordinate onboarding workflows with custodians, portfolio management, and client service teams. • Maintain accurate client records across systems (CRM, custodian, portfolio reporting). • Monitor onboarding SLAs and resolve bottlenecks or deficiencies. Operations & Administrative Management • Manage daily operational routines and controls across the firm. • Maintain operational policies, procedures, and SOP documentation. • Coordinate with third-party vendors and service providers (custodians, technology, consultants). • Responsible for daily administrative routine, like meeting room, inventory. • Oversee record retention and data organization in line with regulatory requirements. • Identify operational risks and recommend process improvements and automation. HR Coordination • Coordinate employee onboarding and offboarding processes. • Track compliance-related and HR-related training completion. • Manage employee policy acknowledgements and internal certifications. • Serve as the operational point of contact for payroll, benefits, and HR vendors (no payroll ownership required). • Support leadership with headcount tracking and administrative HR reporting. • Act as a central operational point of accountability for recurring internal processes.

Requirements

5+ years' experience in RIA operations, compliance support, investment operations, or financial services operations.
College degree
Strong understanding of: o RIA operational workflows o Client onboarding and KYC processes o Compliance execution and documentation requirements
Highly organized with strong attention to detail.
Ability to manage recurring deadlines and regulatory-driven tasks.
Strong written and verbal communication skills.
Process discipline and control mindset
Regulatory awareness without policy ownership
Strong execution and follow-through
Ability to work independently and escalate issues appropriately
High ethical standards and confidentiality
Fluency in English and Portuguese; Spanish is a plus.
Excellent interpersonal, communication, and presentation skills

Nice To Haves

Experience with Practifi (Salesforce) and Addepar is a plus.

Responsibilities

Execute internal compliance routines in accordance with the firm’s compliance program and policies.
Serve as the primary day-to-day liaison with the outsourced CCO.
Maintain compliance logs, certifications, attestations, and supporting evidence.
Coordinate annual compliance tasks (training, code of ethics acknowledgements, risk assessments, testing support).
Assist with regulatory exams, audits, and inquiries by gathering documentation and coordinating responses.
Track regulatory deadlines and ensure timely internal preparation (ADV updates, filings support, recordkeeping).
Oversee and manage the client onboarding process from documentation through account opening.
Ensure completeness and accuracy of KYC, AML, suitability, and client agreements.
Coordinate onboarding workflows with custodians, portfolio management, and client service teams.
Maintain accurate client records across systems (CRM, custodian, portfolio reporting).
Monitor onboarding SLAs and resolve bottlenecks or deficiencies.
Manage daily operational routines and controls across the firm.
Maintain operational policies, procedures, and SOP documentation.
Coordinate with third-party vendors and service providers (custodians, technology, consultants).
Responsible for daily administrative routine, like meeting room, inventory.
Oversee record retention and data organization in line with regulatory requirements.
Identify operational risks and recommend process improvements and automation.
Coordinate employee onboarding and offboarding processes.
Track compliance-related and HR-related training completion.
Manage employee policy acknowledgements and internal certifications.
Serve as the operational point of contact for payroll, benefits, and HR vendors (no payroll ownership required).
Support leadership with headcount tracking and administrative HR reporting.
Act as a central operational point of accountability for recurring internal processes.
HR routines such as payroll, benefit plans and performance evaluation program; responsible for recruiting and onboarding new employees as needed.
Oversee client onboarding & KYC. Ensuring client documentation completeness.
Coordinate AML/KYC checks.
Maintain client records and CRM accuracy.
Manager Operations and administrative routine as vendor coordination, document process, operation control, data retention and recordkeeping, expenses control.
Preparing documents and presentations.
Availability to work in-office from 9 AM to 6 PM.