Compliance Officer

About the role

A boutique investment management firm is seeking a Compliance Officer to support and enhance its growing compliance program. This individual will work closely with senior leadership and play a key role in maintaining a strong culture of compliance across the organization.

Responsibilities

• Assist with the administration and ongoing enhancement of the firm's compliance program.
• Support compliance obligations associated with a Registered Investment Adviser (RIA).
• Conduct compliance testing, monitoring, and surveillance activities.
• Review marketing and advertising materials for regulatory compliance.
• Absorb regulatory filings, disclosures, and annual compliance reviews.
• Maintain compliance records and documentation in accordance with applicable regulations.
• Partner with investment, operations, and client-facing teams to provide compliance guidance.
• Support employee compliance programs, including code of ethics administration and personal trading reviews.
• Participate in regulatory examinations, audits, and information requests.

Requirements

• 3+ years of compliance experience within investment management, wealth management, asset management, financial services, or a related environment.
• Experience supporting a Registered Investment Adviser (RIA) compliance program.
• Knowledge of SEC rules and regulations applicable to investment advisers.
• Strong written and verbal communication skills.
• Ability to work independently while managing multiple priorities.
• Detail-oriented with strong analytical and problem-solving skills.

Qualifications

• Bachelor's degree or equivalent professional experience.
• Industry licenses and/or compliance certifications are a plus.

Preferred Qualifications

• Experience supporting both an RIA and Broker-Dealer environment.
• Familiarity with marketing review and advertising regulations.
• Exposure to regulatory filings, compliance testing, and employee compliance programs.

Benefits

Opportunity to work directly with senior leadership.
Broad exposure across compliance, operations, and business functions.
Collaborative and entrepreneurial culture.
Competitive compensation package and benefits.
Stable, growing investment management platform with a boutique feel.

Pay

$110,000 - $150,000 Base Salary + Bonus Potential

Schedule

Onsite