The Compliance Manager will play a critical role in supporting and overseeing the compliance program for an SEC‐registered investment adviser and affiliated registered investment companies. The role requires deep regulatory expertise, strong judgment, and exceptional communication skills to provide practical, risk‐based compliance guidance across the organization.
Requirements
- Investment Adviser & Investment Company Compliance
- Provide day‐to‐day compliance support for an SEC‐registered investment adviser, including interpretation and application of the Investment Advisers Act of 1940 and related SEC rules.
- Support compliance oversight for registered investment companies, including mutual funds or similar products, in coordination with internal stakeholders and service providers.
- Assist with the development, implementation, and maintenance of compliance policies, procedures, and controls designed to meet evolving regulatory expectations.
- Review and approve marketing, advertising, and communications materials in accordance with the SEC Investment Adviser Marketing Rule and applicable FINRA standards.
- Partner closely with marketing, legal, and business teams to ensure communications are accurate, balanced, and compliant while supporting business objectives.
- Maintain documentation and records supporting marketing review and approval processes, including substantiation and required disclosures.
- Translate complex regulatory concepts into clear, practical guidance for business partners and senior leadership.
- Monitor regulatory developments and assist in assessing their impact on policies, procedures, and business practices.
- Support compliance testing, certifications, and periodic reviews.
- Demonstrate flexibility and adaptability by taking on new responsibilities as the compliance program and business needs evolve.
Benefits
- Healthcare (medical, dental, vision)
- Basic term and optional term life insurance
- Short-term and long-term disability
- Pregnancy disability and parental leave
- 401(k) and employer-funded retirement plan
- Paid vacation (from two to five weeks depending on salary grade and tenure)
- Up to 11 paid holiday opportunities
- Adoption assistance
- Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
