Compliance Manager, Management

We are seeking an experienced Compliance Manager to lead our compliance program and ensure full adherence to regulatory standards. This role requires strategic oversight, strong leadership, and collaboration across departments to maintain a culture of integrity and operational excellence.

• Develop and implement the firm’s SEC compliance program
• Review and enhance compliance policies, procedures, and control structures
• Maintain compliance calendar, tasks, and checklists
• Review marketing, advertising, and client-facing materials for regulatory accuracy
• Oversee regulatory filings and examinations
• Manage AML/KYC checks and third-party administrator oversight
• Liaise with outside counsel on vendor agreements and legal documentation
• Ensure proper upkeep of all legal documents

• Bachelor’s degree required; JD or advanced degree preferred
• 5+ years of SEC/RIA compliance experience, including 3+ years managing compliance teams
• In-depth knowledge of the Investment Advisers Act of 1940 and SEC regulations
• Strong knowledge of SEC, CFTC/NFA, and FINRA rules and regulations
• Background in hedge funds, private funds, or asset management
• Proven ability to design, implement, and monitor compliance programs
• Strong leadership and project management skills in fast-paced environments
• Ability to manage multiple priorities and collaborate effectively across teams

• Competitive compensation and benefits. $150K+ depending on skillset and experience
• Opportunity to work with a leading financial services firm
• Collaborative and growth-oriented environment