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Compliance Manager
Job Description
A fast-growing RIA firm managing billions of dollars in assets is searching for an experienced Compliance Manager to join their team in Phoenix, AZ! This role is perfect for someone with at least 5 years of compliance experience with an RIA or investment consulting firm who wants to work closely with the leadership team to help drive the firm s compliance strategy. You'll be the go-to expert for regulatory guidance, ensuring the firm stays ahead in a rapidly changing environment, and you'll have the opportunity to shape and influence the compliance culture in a company that values innovation and professional growth. If you re looking to advance your career in a supportive, high-impact role, this opportunity offers both immediate responsibilities and long-term potential. To find out more about what this role has to offer you, apply now!
Compliance Manager Requirements:
- 5-7 years of compliance experience within a Registered Investment Adviser (RIA) or investment consulting firm
- Experience with investment advisory and registered investment companies preferred
- Bachelor s degree required; candidates with 8+ years of relevant experience may be considered in lieu of a degree
- Strong working knowledge of the Advisers Act and the 1940 Ac
- Familiarity with SEC exams and mock exams is a plus
- Proficiency in Microsoft Office Suite, especially Excel (formulas required
- Experience with Orion Technology and Red Oak is preferred but not required (training available)
- Experience managing a team is preferred
- Knowledge of SEC Exam practices and experience with CFTC/NFA and FINRA requirements is a plus
Compliance Manager Responsibilities:
- Ensure the firm complies with the Advisers Act, the 1940 Act, and other relevant regulations
- Respond to compliance-related inquiries from approximately 200 advisors
- Conduct reviews of marketing materials and emails to ensure compliance with regulatory standards
- Monitor and review personal securities transactions
- Assist in developing and updating compliance policies and procedures
- Conduct forensic testing and advisor testing, including quarterly account reviews and client onboarding paperwork reviews
- Handle regulatory inquiries and provide necessary documentation
- Manage and resolve client complaints in a timely manner
Benefits:
- Medical, Dental and Vision insurance
- 401K Plan
- PTO
- Support for industry training
- Small, entrepreneurial environment with a fun and supportive atmosphere
- Opportunity for career growth
- Stability and longevity within a growing firm
Apply now!
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