Manager, Compliance

For our client, a leader in the Finance & Insurance space, we are seeking a Manager of Compliance to provide business-aligned guidance focused on governance, compliance, and operational risk management. You will partner with leaders, compliance stakeholders, and cross-functional teams to translate complex issues into practical recommendations, strengthening responsible execution and supporting sustainable growth within a regulated financial services environment.

Responsibilities

• Plan and prioritize team tasks to meet service standards and regulatory needs
• Oversee compliance testing and monitoring, ensuring thorough documentation and reporting
• Maintain and update compliance policies and procedures effectively
• Review marketing and client communications for compliance requirements
• Coordinate and manage responses to regulatory inquiries and examinations
• Handle the lifecycle of compliance issues from identification to resolution
• Provide feedback and coaching to team members for performance improvement

Requirements

• Bachelor's Degree in a relevant field
• 5+ years of compliance experience in broker-dealer/investment advisory
• 3+ years of team leadership in compliance roles
• In-depth knowledge of FINRA rules and key securities regulations
• Proven ability to manage multiple projects independently
• Must hold relevant securities licenses (e.g., S7, S24, S63, S65, or S66)

Benefits

• Competitive Total Rewards package including incentives and 401(k) matching contributions
• Flexible hybrid work schedules for improved work-life balance
• Tuition reimbursement for continued education support
• Opportunities for professional and career development including certifications
• Comprehensive wellness programs for holistic health
• Volunteerism initiatives to foster community engagement

Pay

$95,700 – $148,340 annually

Location: Remote - US based candidates only, no visa sponsorship available