Senior Compliance Analyst​/Director

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We are a fast-growing, SEC-registered multi-billion-dollar investment advisory firm offering a collaborative and mission-driven work environment. We provide customized investment solutions and investment vehicles across multiple channels and pride ourselves on delivering excellence to our clients while maintaining a culture of integrity and compliance.

Position Summary

We are seeking an experienced and detail-oriented Sr. Compliance Analyst/Director to support the firm’s Chief Compliance Officer in managing the firm’s compliance program. The ideal candidate will have a strong understanding of the Investment Advisers Act of 1940, experience with both SEC and FINRA regulatory requirements, and familiarity with compliance issues specific to investment advisers, dual-registrants, and, ideally, 1940 Act Funds.

This role is a key contributor in maintaining a culture of compliance and supporting the ongoing development and execution of our regulatory and operational controls.

Key Responsibilities

• Support the Chief Compliance Officer in the administration of the firm’s compliance program.
• Oversee the preparation and timely filing of SEC regulatory filings and assist with FINRA filings when applicable.
• Conduct ongoing reviews and testing of the firm’s policies and procedures to ensure compliance with federal securities laws and applicable regulations.
• Support advisor compliance activities, including monitoring of advertising/marketing materials, personal trading, outside business activities, and code of ethics reporting.
• Assist in preparing for and responding to regulatory examinations and audits.
• Maintain and update compliance manuals, policies, and procedures.
• Assist in the compliance oversight of affiliated mutual funds and ETFs.
• Collaborate with investment and client service teams to ensure firm-wide adherence to compliance requirements.
• Stay current on regulatory developments and industry best practices.

Qualifications

• Minimum of 5 years of compliance experience in the investment management industry.
• Strong knowledge of the Investment Advisers Act of 1940; familiarity with FINRA rules and the Investment Company Act of 1940 is highly preferred.
• Strong technological proficiency and ability to work with new software applications.
• Experience with regulatory filings and compliance testing.
• Strong organizational, communication, and analytical skills.
• Ability to work independently and collaboratively in a fast-paced, dynamic environment.
• Experience with compliance software and reporting tools a plus (e.g., Schwab Compliance Technologies, Smarsh, etc.).

Why Join Us

• Be part of a growing and respected firm committed to integrity and fiduciary excellence.
• Collaborate with industry veterans in a collegial and inclusive environment.
• Engage in meaningful work that supports investor protection and long-term firm sustainability.

Compensation

• Salary will be commensurate with experience and qualifications.

Seniority level

• Seniority level
  
  Mid-Senior level

Employment type

• Employment type
  
  Full-time

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