Compliance Manager, Broker-Dealer & Investment Adviser

In this role, you will own the day-to-day execution of compliance programs across RIA and BD entities. You will maintain FINRA state registrations, support employee registration filings, and run the compliance calendar. You will lead the annual review and testing cycle across advertising, AML, trade errors, books and records, vendor due diligence, and more. You will manage electronic communications surveillance in Global Relay, lead advertising and collateral approvals, administer Code of Ethics attestation cycles, and create compliance training materials. You will also assist with ADV and CRS filings, support regulatory exams, and contribute to AI-focused enhancements of the compliance program.

Responsibilities

• Lead and maintain FINRA state registration obligations across all required jurisdictions
• Support employee registration filings including U4, U5, fingerprints, and background checks
• Own and execute the compliance calendar and escalate to the Compliance Lead as needed
• Lead the annual review and testing cycle across all compliance program areas
• Own electronic communications surveillance in Global Relay including keyword configuration and user access
• Lead advertising and collateral approval including FINRA submissions and annual advertising training
• Own Code of Ethics attestation cycles, desktop procedure management, and client agreements and disclosures review
• Assist the Compliance Lead with regulatory filings including ADV and CRS
• Create and administer compliance training materials across key program areas
• Manage compliance tools including user management, brokerage feed links, and ongoing configuration
• Contribute to AI-focused enhancements to the compliance program and identify automation opportunities
• Serve as liaison with the firm's compliance consulting firm and support regulatory exams and regulator requests

Requirements

• 5+ years of compliance experience at a FINRA-registered broker-dealer and SEC-registered investment adviser
• Deep working knowledge of FINRA Rules, SEC Rules including the Marketing Rule, Reg S-P and Reg S-ID, GLBA, and Bank Secrecy Act
• Experience running supervisory control testing and advertising review across both RIA and BD entities
• Familiarity with compliance technology such as ComplySci and Global Relay, books and records obligations under Rules 17a-4 and 204-2, and AI governance frameworks in a regulated environment
• Hands-on experience executing compliance testing programs
• Strong written communication skills able to document compliance work to withstand regulatory scrutiny
• Active SIE, Series 7, and Series 24 licenses
• Ability to manage multiple programs and workstreams simultaneously in a lean, high-accountability team
• Familiarity with AI tools in a compliance context

Benefits

• health insurance
• 401(k)
• equity (RSUs)
• hybrid work