About the Role
We are looking for a meticulous and solution-oriented Compliance Operations Specialist to support the operational side of our investment advisory business. As a primary point of contact, you will coordinate with teams across the organization to identify and solve problems, research unique issues, and build workflows that keep our business compliant and running smoothly.
Key Responsibilities
- Support the operational build-out of investment advisory services, including workflows, testing, and documentation.
- Coordinate with internal teams to identify potential areas of risk and propose solutions to resolve issues.
- Build essential workflows that achieve regulatory requirements, including testing for books and records, establishing proper information barriers, and identifying conflicts of interest.
- Respond to escalated issues and client inquiries with professionalism and regulatory guidance.
- Foster a culture of compliance and client advocacy within a fast-paced, collaborative environment.
- Work as a team, supporting compliance needs across the advisory business when needed.
Requirements and Skills
- 4-6 years of operational or compliance experience with an investment adviser or financial services firm.
- Understanding of the SEC Investment Advisers Act of 1940 and FINRA regulations.
- Strong written, verbal, and presentation skills to communicate with leadership and cross-functional teams.
- Exceptional organizational skills with the ability to think critically, solve problems, and implement process improvements.
- High attention to detail and the ability to spot issues and proactively resolve them.
- Trustworthy, self-motivated, and able to thrive in an entrepreneurial environment.
Compensation
Salary: $94,000 – $110,000 / year. Base pay for the successful applicant will depend on job-related factors, including education, training, experience, location, business needs, and market demands. In addition, this role is eligible for bonus opportunities, equity, and benefits.
