Senior Manager, Client Compliance Operations

True Link Financial

21d

About The Position

We are a profitable, mission-driven fintech company that provides quality financial solutions for people whose needs go unmet by traditional institutions. We serve people with complex needs and those who care for them, and it is an honor to wake up in the morning knowing that we have a profound impact on our customers’ lives. This new role, Senior Manager, Client Compliance Operations, will lead the development of scalable compliance processes across True Link’s investment advisory business, as we surpass $2B in assets under management. This person will own critical workflows across account agreements and documentation, fee processes, and compliance communications, all with a focus on accuracy and a smooth experience for our clients. This is an exciting, new, high-impact role for someone who loves getting the details right, strengthening processes, and keeping a fast-moving advisory business organized and audit-ready.

Requirements

• 7+ years experience in compliance, investment advisory operations, or financial services operations
• Experience scaling compliance at a small, growing financial services or fintech company
• Familiarity with registered investment advisor (RIA) requirements, custodial account opening, and advisory documentation workflows
• Extremely organized, detail-oriented, and comfortable owning repeatable processes with precision
• Comfortable with suggesting and implementing process improvements
• Able to navigate complexity and bring structure, clarity, and consistency to operational systems
• Strong communicator who can partner closely with internal teams such as client services, compliance, and operations, and with external partners
• Comfortable managing documentation, records, and access controls across systems; experience with exams or audits is a plus

Responsibilities

• Lead and scale critical compliance processes as we grow, to ensure efficiency and accuracy on all account maintenance and documentation.
• Manage end-to-end investment agreement workflows, including new client agreements, re-executions, annual audits, and proper filing of executed contracts.
• Maintain audit-ready records and organize documents, agreements, and disclosures.
• Communicate directly with clients to explain compliance activities and requirements.
• Collaborate with our operations teams to refine advisory fee calculation processes and provide ongoing quality assurance.
• Proactively support audits, regulatory exams, and compliance communications.
• Partner cross-functionally to identify risks, strengthen our systems, and document best practices.

Benefits

• We offer competitive wages, health, dental & vision coverage, paid parental leave, 12 paid holidays, your own professional development budget, and an awesome vacation package.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed
• Number of Employees: 51-100 employees