Compliance Manager

Location: Alpharetta, GA (On-Site)

About the role

A growing financial services organization is seeking a Compliance Manager to join its team. This individual will play a key role in supporting and enhancing the firm's compliance program, with a particular focus on broker-dealer activities and fixed income products. This is an excellent opportunity for a compliance professional looking to take ownership of regulatory initiatives while partnering closely with business leaders, legal teams, and senior management.

Responsibilities

• Support and oversee the firm's broker-dealer compliance program.
• Monitor regulatory developments and ensure adherence to applicable SEC, FINRA, and other regulatory requirements.
• Provide compliance guidance related to fixed income products, trading activities, and business operations.
• Assist with regulatory examinations, inquiries, and audits.
• Develop, review, and maintain compliance policies, procedures, and controls.
• Conduct compliance testing, monitoring, and risk assessments.
• Partner with stakeholders across the business to identify and mitigate compliance risks.
• Deliver compliance training and regulatory guidance to employees.
• Assist with regulatory filings and reporting obligations as needed.

Requirements

• 5+ years of compliance experience within a broker-dealer, investment firm, or financial services environment.
• Strong knowledge of FINRA and SEC regulations.
• Experience supporting fixed income trading, products, or capital markets activities.
• Familiarity with compliance monitoring, surveillance, testing, and regulatory examinations.
• Excellent communication and relationship-building skills.
• Ability to work independently in a fast-paced environment.

Preferred Qualifications

• FINRA licenses (Series 7, 24, or similar) are a plus.
• Experience working directly with traders, sales teams, or front-office personnel.
• Bachelor's degree or equivalent industry experience.

Pay

Competitive base salary of $130,000 - $160,000 plus annual performance bonus.

Benefits

• Strong benefits package
• High-visibility role with direct exposure to leadership
• Opportunity to make a meaningful impact within a growing organization