Compliance Manager
Core
Provide regulatory consulting and support to a network of registered investment advisers (RIAs) while building and leading the compliance team.
Role type
Senior IC compliance manager (people leader)
Builds
Custom compliance offering and regulatory programs for a network of RIAs
Domain
Financial services / Investment Advisers
Required skills
Regulatory consulting, team leadership, compliance program development, talent coaching, project management, SEC rule knowledge, diagnostic review, deficiency remediation, training delivery, regulatory exam support
Preferred skills
Series 65 license, experience creating investment adviser entities
Technologies
Investment Advisers Act of 1940, ERISA
Responsibilities
Lead and supervise compliance personnel, develop compliance programs and best practices, coach and develop team members, manage process improvement initiatives, interact with compliance resource providers, conduct diagnostic reviews of RIA compliance programs, follow up on regulatory deficiencies, keep up to date on SEC Rules, communicate compliance matters to the team and management, train employees on policies, assist with SEC exams and regulatory requests, present to large audiences at conferences and webinars
Seniority
Senior, hands-on IC with people leadership