Compliance Program Manager

Strategas Securities

69d • $125,000 - $150,000

About The Position

Strategas Asset Management is seeking a highly experienced and detail-oriented Compliance Program Manager to support and enhance the firm’s compliance program. This leadership role is critical in ensuring the firm adheres to all regulatory requirements, particularly those applicable to Registered Investment Advisors (RIAs). The ideal candidate will bring deep knowledge of SEC regulations, a proactive approach to risk management, and a collaborative mindset to help drive a culture of compliance across the organization.

Requirements

• Bachelor’s degree required; JD or advanced degree preferred.
• 5–10 years of IA compliance experience, including ETFs and SEC regulations.
• Familiarity with broker-dealer regulations and Rule 6c-11.
• Proficiency with compliance tech platforms and data analytics.
• Strong leadership, communication, and multitasking skills.
• Series 7 required (or within 6 months); Series 24 and/or 63 preferred.
• Experience with ETFs, SMAs, and wrap programs.
• Knowledge of GIPS standards and performance advertising rules.
• Prior regulatory exam management.
• IACCP or similar certification a plus.

Responsibilities

• Lead compliance controls for the RIA under the Investment Advisers Act of 1940, Securities Act of 1933, Rule 206(4)-7, and related regulations.
• Partner with the CCO to oversee compliance programs for the RIA and broker-dealer.
• Develop and enforce policies, procedures, and the RIA Code of Ethics; adapt to regulatory changes.
• Manage annual Rule 206(4)-7 reviews and ongoing testing programs.
• Support Risk Committee meetings with materials, minutes, and compliance updates.
• Assess and enhance compliance functions to address gaps and improve regulatory alignment.
• Oversee ETF-related service providers (e.g., subadvisers, custodians, fund administrators).
• Respond to DDQs, certifications, regulatory inquiries, and internal audits.
• Handle regulatory filings (Form N-PX, ADV Parts 1, 2A, 2B, Form CRS).
• Monitor regulatory developments and collaborate across legal, operations, and investment teams.
• Build strong industry relationships and perform other duties as assigned.

Benefits

• Annual salary range $125,000 - $150,000
• Bonus potential
• Compensation and bonus are commensurate with experience, performance and/or firm profitability

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Bachelor's degree
• Number of Employees: 51-100 employees