Senior Manager, Client Compliance Operations

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.

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

Benefits

• Competitive wages
• Health, dental & vision coverage
• Paid parental leave
• 12 paid holidays
• Your own professional development budget
• Awesome vacation package