Compliance Operations Manager

Benefits:

Bonus based on performance

Dental insurance

Health insurance

Profit sharing

Larch Capital Partners is a SEC-registered investment advisory firm focused on providing multi-family office services to ultra-high-net-worth individuals, primarily from Latin America. We are a collaborative organization with a collegial, creative, and dynamic work environment. We value high performance, teamwork, accountability, initiative, transparency, flexibility, independence, and the highest ethical standards.

Compliance & Operations Manager

Reporting directly to the COO, the Compliance & Operations Manager, to oversee day‑to‑day operational execution and internal compliance routines while supporting our outsourced Chief Compliance Officer (CCO). This role is responsible for ensuring that operational, administrative, HR-coordination, and client onboarding processes are executed accurately, documented properly, and aligned with regulatory and internal requirements. This is a hands‑on management role responsible for execution, coordination, and process oversight — not for acting as the firm’s CCO or setting compliance policy.

• Execute internal compliance routines in accordance with the firm’s compliance program and policies.
• Serve as the primary day‑to‑day liaison with the outsourced CCO.
• Maintain compliance logs, certifications, attestations, and supporting evidence.
• Coordinate annual compliance tasks (training, code of ethics acknowledgements, risk assessments, testing support).
• Assist with regulatory exams, audits, and inquiries by gathering documentation and coordinating responses.
• Track regulatory deadlines and ensure timely internal preparation (ADV updates, filings support, recordkeeping).
• This role does not sign filings, approve compliance policy, or act as the designated CCO.

• Oversee and manage the client onboarding process from documentation through account opening.
• Ensure completeness and accuracy of KYC, AML, suitability, and client agreements.
• Coordinate onboarding workflows with custodians, portfolio management, and client service teams.
• Maintain accurate client records across systems (CRM, custodian, portfolio reporting).
• Monitor onboarding SLAs and resolve bottlenecks or deficiencies.

• Manage daily operational routines and controls across the firm.
• Maintain operational policies, procedures, and SOP documentation.
• Coordinate with third‑party vendors and service providers (custodians, technology, consultants).
• Responsible for daily administrative routine, like meeting room, inventory.
• Oversee record retention and data organization in line with regulatory requirements.
• Identify operational risks and recommend process improvements and automation.

• Coordinate employee onboarding and offboarding processes.
• Track compliance‑related and HR‑related training completion.
• Manage employee policy acknowledgements and internal certifications.
• Serve as the operational point of contact for payroll, benefits, and HR vendors (no payroll ownership required).
• Support leadership with headcount tracking and administrative HR reporting.
• Act as a central operational point of accountability for recurring internal processes.

• 5+ years’ experience in RIA operations, compliance support, investment operations, or financial services operations.
• College degree.
• Strong understanding of:
  • RIA operational workflows
  • Client onboarding and KYC processes
  • Compliance execution and documentation requirements
• Highly organized with strong attention to detail.
• Ability to manage recurring deadlines and regulatory‑driven tasks.
• Strong written and verbal communication skills.

• Process discipline and control mindset.
• Regulatory awareness without policy ownership.
• Strong execution and follow‑through.
• Ability to work independently and elevate issues appropriately.
• High ethical standards and confidentiality.
• Fluency in English and Portuguese;
  Spanish is a plus.
• Excellent interpersonal, communication, and presentation skills.
• Experience with Practifi (Salesforce) and Addepar is a plus.

• Reports to:
  
  COO.
• Works closely with:
  Outsourced CCO, Finance, Client Service, and Senior Management.
• HR routines such as payroll, benefit plans and performance evaluation program; responsible for recruiting and onboarding new employees as needed.
• Oversee client onboarding & KYC. Ensuring client documentation completeness.
• Coordinate AML/KYC checks.
• Maintain client records and CRM accuracy.
• Manager Operations and administrative routine as vendor coordination, document process, operation control, data retention and recordkeeping, expenses control.
• Preparing documents and presentations.
• Availability to work in‑office from 9 AM to 6 PM.