Sr. Manager of Compliance

FINRA Series 7 and 24 are required. Series 65 or 66 license or willing to obtain it within the first 90 days.
Bachelor’s Degree and 7+ years SEC Registered Investment Adviser or Broker Dealer relevant compliance related work experience.
Experience working with SEC and FINRA rules and regulations, specifically FINRA Rule 2210 and SEC Marketing Rule.
At least 2+ years of experience managing and developing team members, fostering growth and performance excellence.
Strong ability to communicate compliance expectations and initiatives, clearly and effectively.
Commitment to upholding policy and procedures per company standards.

Manage day-to-day compliance activities, including the review of marketing materials and public communications.
Assist with regulatory examinations, inquiries, and requests from relevant authorities.
Review and modify policies and procedures with respect to marketing and advertising, as well as updating the Broker-Dealer Written Supervisory Procedures and Investment Adviser Compliance Manual, in response to regulatory and/or business requirements.
Identify, prioritize, and mitigate regulatory risks, to ensure compliance with regulatory requirements.
Contribute to strategic compliance goals aligned with the firm’s mission.
Lead a small team of direct reports by providing guidance, mentorship, and performance feedback to ensure the success of the compliance program.
Collaborate with key business partners such as Marketing, Product, and Invest Operations to support business and compliance initiatives.
Provide compliance insights to the CCO and other key stakeholders.