Regulatory Compliance Manager

Realta Wealth is a trusted wealth management partner dedicated to empowering accomplished advisors to grow their practices according to their vision. Built on a foundation of fostering strong relationships, Realta Wealth offers the capabilities of larger firms without the bureaucracy. With an emphasis on bespoke services and top-tier solutions, the company is committed to enhancing the advisor-client relationship and driving mutual success.

Realta Wealth serves a discerning clientele by maintaining high standards and focusing on delivering exceptional value and experiences. The firm prioritizes sustainable growth while staying true to its mission of exceeding expectations at every turn.

The Compliance Manager supports the firm’s Compliance Program with a primary focus on financial advisor support, onboarding and registration coordination, Anti-Money Laundering (AML) responsibilities, continuing education administration, and oversight of the firm’s Written Supervisory Procedures (WSPs). This role requires strong organization, professionalism, and the ability to manage multiple compliance functions in a small-firm environment.

This is a hybrid role. Candidates must be located in either the Minneapolis, MN or Wilmington, DE area.

• Serve as a key compliance resource for financial advisors, providing guidance on firm policies, supervisory processes, licensing requirements, and day-to-day compliance questions.
• Oversee the books and records of advisor onboarding, transitions, terminations, and related recordkeeping to ensure timely and accurate documentation.
• Serve in an AML Officer capacity (or support role, depending on structure), assisting with the administration of the firm’s AML program, including CIP, transaction monitoring, and escalation of potential red flags.
• Maintain AML logs, testing evidence, risk assessments, and regulatory reporting documentation as required.
• Serve as the firm’s Continuing Education (CE) Administrator, managing Firm Element planning, training assignments, documentation, and reporting requirements.
• Administer Quest CE training programs, assign and track courses, monitor completion status, and maintain CE and training records.
• Serve as WSP Administrator, assisting with maintenance, updates, version control, and communication of the firm’s Written Supervisory Procedures.
• Support compliance monitoring activities, documentation requests, audit preparation, and ongoing program enhancements.
• Maintain compliance calendars, task logs, and workflow tracking tools to support department organization and accountability.
• Collaborate with Compliance leadership and Operations on special projects, regulatory initiatives, and process improvements.

• Bachelor’s degree or equivalent financial-services experience required.
• 5+ years of experience in a broker/dealer, RIA, or financial-services compliance or operations role preferred.
• Extensive knowledge of AML program concepts, CE and training administration, or supervisory procedures required.
• FINRA Series 7 and 24 licensing required.
• Strong organizational skills with the ability to manage multiple responsibilities and deadlines.
• Excellent written and verbal communication skills with financial advisors and a high level of attention to detail.
• Ability to handle confidential regulatory information with discretion and professionalism.
• Proficiency with Quest CE (or similar platforms), compliance systems, and Microsoft Office tools.

• The salary range for this role is $100,000 to $115,000
• Realta Wealth offers a comprehensive benefits package upon hire including PTO, 401K plan with company matching, both PPO and HSA medical plans, vision, dental, company paid life insurance and other optional fringe benefits.