Compliance and Office Manager

Compliance Manager & Operations Coordinator

Confidential Financial Services Firm

Full-Time | In-Office

Position Summary

A growing financial services firm is seeking a highly organized, detail‑driven Compliance Manager & Operations Coordinator to support and strengthen its regulatory compliance program as the organization transitions to and operates as a Registered Investment Advisor (RIA).

This role is ideal for someone who thrives in a regulated environment, enjoys building process‑driven systems, and can balance compliance oversight with executive support and office operations.

The position’s responsibilities fall into three core areas, in order of priority:

1. Compliance Management & Regulatory Support
2. Executive Assistant Support to Senior Leadership
3. Office Management & Administrative Operations

The ideal candidate brings exceptional attention to detail, strong follow‑through, and the ability to manage sensitive information with professionalism and discretion.

Key Responsibilities

1. Compliance Management & Regulatory Oversight (Primary Focus)

Support the firm’s compliance program and ensure adherence to regulatory requirements applicable to a Registered Investment Advisor.

Responsibilities include:

• Assist in implementing, maintaining, and monitoring compliance policies and procedures
• “Assist in the implementation, maintenance, and oversight of the firm’s compliance policies and procedures”
• Maintain compliance records in accordance with SEC and regulatory requirements
• “Maintain compliance records in accordance with SEC and regulatory recordkeeping requirements”
• Support preparation and maintenance of regulatory filings, including Form ADV updates
• Track compliance calendars and ensure timely completion of required filings
• Prepare documentation for regulatory audits, examinations, and internal reviews
• Maintain logs for training, attestations, certifications, and employee disclosures
• Assist with annual compliance reviews and testing procedures
• Track employee licensing, registrations, and continuing education
• Review and organize regulatory documentation and internal compliance files
• Support compliance monitoring related to marketing materials and communications
• Coordinate compliance‑related meetings and maintain activity records
• Partner with leadership and consultants on compliance initiatives and process improvements
• Help promote a culture of compliance and operational discipline across the firm

2. Executive Assistant Support (Secondary Responsibility)

Provide high‑level administrative support to senior leadership.

Responsibilities include:

• Manage executive calendars, scheduling, and meeting coordination
• Prepare agendas, presentations, reports, and internal documents
• Coordinate travel arrangements and itineraries
• Assist with email management, follow‑ups, and task tracking
• Support client meeting logistics and preparation
• Serve as a liaison between leadership and internal/external stakeholders
• Handle confidential information with discretion and professionalism

3. Office Management & Administrative Operations (Third Priority)

Ensure smooth day‑to‑day office operations and a professional work environment.

Responsibilities include:

• Manage office supplies, vendors, and service providers (IT, facilities, etc.)
• Maintain document management and internal filing systems
• Support onboarding and offboarding logistics
• Coordinate internal meetings, office events, and team logistics
• Serve as the point of contact for office operations and administrative needs
• Maintain organized workflows and administrative processes

Qualifications & Experience

• 5+ years of experience in financial services, compliance, operations, or executive support
• Experience in a regulated environment strongly preferred (RIA, broker‑dealer, wealth management, banking, insurance)
• Familiarity with compliance processes, regulatory documentation, and audit preparation
• Exceptional attention to detail and ability to follow procedures precisely
• Strong organizational and time‑management skills
• Excellent written and verbal communication skills
• High level of discretion handling confidential information
• Proficiency with Microsoft Office; experience with compliance or document management tools preferred

Preferred Experience

• Experience supporting RIA compliance programs
• Familiarity with SEC regulatory requirements
• Experience coordinating compliance documentation, filings, or internal audits
• Ability to build and maintain process‑driven systems and workflows

Core Competencies

• Strong regulatory mindset and attention to detail
• Process‑oriented and highly organized
• High integrity and discretion
• Proactive, solutions‑oriented, and accountable
• Able to manage multiple responsibilities and deadlines
• Professional presence and strong interpersonal skills

Work Environment

• In‑office role within a professional financial services environment
• Requires handling sensitive financial and compliance‑related information
• Occasional early or late hours may be needed to support executive schedules or compliance deadlines

Compensation & Benefits

• Base Salary: $75,000–$85,000 DOE
• Bonus: 10–20% performance‑based
• Benefits: Health benefits, PTO and paid holidays, 401(k) plan