Compliance Manager

Job Summary

Supporting a diverse portfolio of investment clients, the full-time salaried Compliance Manager will deliver compliance services, including regulatory filings, compliance testing, and client engagement, in a fully remote environment.

Key responsibilities

• Preparing and supporting regulatory filings such as Form ADV, Form 13F, Form U4, and Form U5
• Conducting electronic communications reviews and compliance program assessments
• Managing multiple client engagements while ensuring high standards of accuracy and service

Required qualifications

• 3+ years of compliance experience within the investment management industry
• Experience preparing regulatory filings through IARD, EDGAR, FINRA Gateway, and/or CRD
• Hands-on experience with compliance monitoring and Code of Ethics administration
• Bachelor's degree or equivalent experience
• Strong Excel, data management, and analytical skills