Compliance Manager

About Us: BBVA Global Wealth Advisors (GWA), part of the BBVA Group, is an SEC-registered investment adviser (RIA) committed to providing exceptional financial advice and investment management services to our clients. We are dedicated to upholding the highest fiduciary standards and ensuring the best interests of our clients are always at the forefront of our operations.

Position Summary: We are seeking a detail-oriented and proactive Compliance Manager to help our Deputy Chief Compliance Officer (Deputy CCO) administer and enhance our SEC compliance program. The ideal candidate will have substantial RIA compliance experience and will act as a key partner to the business—identifying risks, implementing controls, and ensuring adherence to regulatory requirements. By leveraging your expertise, you will play a vital role in supporting our US operations and our diverse client base throughout Latin America.

Key Responsibilities:

• Program Administration & Testing: Partner with the Deputy CCO to execute the GWA compliance testing and monitoring program. Ensure operational controls are functioning properly and that any weaknesses are escalated and remediated.
• Business Advisory: Serve as a day-to-day compliance resource for the business, investment, and sales teams. Provide clear guidance on SEC regulations, firm policies, and emerging issues.
• Risk Assessment & Policy Maintenance: Assist the CCO and Deputy CCO in conducting the annual compliance risk assessment (Rule 206(4)-7). Help draft, implement, and maintain compliance manuals, policies, and procedures.
• Marketing & Communications Review: Review and approve marketing materials, presentations, and client communications to ensure compliance with the SEC Marketing Rule and internal standards.
• Incident & Exam Management: Investigate potential compliance violations or risk incidents. Support the Deputy CCO in managing regulatory inquiries, internal audits, and SEC examinations.
• Training & Education: Develop and deliver compliance training to employees, reinforcing their fiduciary responsibilities and promoting a strong culture of compliance.

Qualifications:

• Experience: 5+ years of experience in risk management, compliance, or a similar role within the financial services industry. Strong preference for direct experience at an SEC-Registered Investment Adviser (RIA) or dual-registered Broker-Dealer.
• Language Skills: Bilingual proficiency in English and Spanish is required to effectively support our Latin American client base.
• Regulatory Knowledge: Deep understanding of the Investment Advisers Act of 1940 and SEC compliance obligations applicable to an RIA.
• Product Expertise: Detailed knowledge of financial markets and complex products (e.g., structured notes, ETFs, UCITS), as well as proficiency in investment suitability standards.
• Education: Bachelor's degree in Finance, Economics, Pre-Law, or a related field. Graduate degree or relevant industry certifications (e.g., IACCP) are a plus.
• Technical Skills: Previous experience with the “NetX 360” platform is highly preferred. Strong data management and quantitative analysis skills.
• Soft Skills: Excellent communication, presentation, and stakeholder management skills, with the ability to translate complex regulations into actionable business advice.