Senior Compliance Officer (Wealth Management)

Sanctuary Wealth•Indianapolis, IN

2d•Hybrid

About The Position

The Senior Compliance Officer reports to the Managing Director and Chief Compliance Officer of tru Independence, who is located within the tru Home Office in Portland, Oregon. This individual supports multiple investment advisory firms by providing exceptional compliance guidance, regulatory expertise, and ongoing operational support. The role involves collaborating across internal departments, representing compliance in advisor interactions, and helping maintain high regulatory standards.

Requirements

Bachelor’s degree preferred.
3+ years of experience in risk management or compliance roles, preferably within the RIA or financial services industry.
Strong analytical abilities and sound judgment when interpreting regulatory guidance.
Superior organizational skills and attention to detail.
Ability to prioritize and adapt to shifting deadlines.
Strong verbal and written communication skills.
Collaborative mindset and openness to feedback.
Knowledge of industry protocols and best practices.
Strong initiative, accountability, and professional integrity.
Excellent time management skills and ability to multitask.
Ability to work in a standard office environment and use standard office equipment, including a computer.
Must be able to maintain attention to detail despite interruptions and communicate clearly in person and via phone.

Responsibilities

Assist and support the Chief Compliance Officer (CCO) with day-to-day compliance operations.
Help maintain compliance programs to ensure adherence to federal and state securities laws and keep policies updated for each Firm’s business activities.
Research new rules, regulations, and regulatory guidance on an ongoing basis.
Serve as liaison with regulators for assigned Firms, coordinating communications, preparing required documentation, and assisting with regulatory exams and remediations.
Support internal departments with compliance data collection, reporting, and adherence to filing deadlines.
Maintain current knowledge of regulatory changes through continuing education and review of regulatory publications.
Back-up Compliance Officer for Compliance Software (ComplySci) administration.
Back-up Compliance Officer for Electronic Communications Archiving Solution (Smarsh) administration.
Maintain desk procedures for assigned compliance functions.
Other duties as assigned.
Act as the designated Chief Compliance Officer (CCO) for assigned Firms, serving as an integral member of their teams.
Develop a strong understanding of each Firm's business model and maintain open communication, including recurring compliance meetings.
Research and respond to Firm requests within established service-level agreements (SLAs), escalating to the CCO as needed.
Ensure assigned Firms’ ADVs remain up to date and accurately reflect their operations.
Oversee annual filings, risk assessments, compliance reviews, regulatory training, and other required compliance functions.
Coordinate annual policy reviews and registration updates.
Maintain and supervise required books and records for assigned Firms.
Prepare and analyze compliance audit reports and data.
Collaborate with Compliance Officers on compliance calendar reviews.
Other duties as assigned.