Compliance Manager

This is a fully remote position, open to applicants in District of Columbia.

📋 Description

• Oversee daily compliance activities and assist in executing the firm’s compliance program.

• Lead a team responsible for testing and monitoring, policy maintenance, marketing and communications reviews, issues management, regulatory inquiries, and overall operational support.

• Organize and prioritize daily and weekly tasks across the team to meet service standards, turnaround expectations, and regulatory obligations.

• Supervise the execution of the compliance testing and monitoring program, including the review of workpapers, assessment of exceptions, and provision of clear written reports.

• Maintain assigned policies and procedures, ensuring timely updates, version control, necessary approvals, and firm-wide communication.

• Evaluate marketing, advertising, client communications, and related materials for regulatory compliance using established processes and criteria.

• Coordinate regulatory examinations, inquiries, and document requests, including organizing evidence, drafting responses, and facilitating meetings with regulators.

• Manage the lifecycle of issues from identification and documentation to remediation, validation, and closure.

• Offer coaching, feedback, and performance support to the Compliance Officer and Compliance Analyst to ensure consistent quality and professional growth.

• Collaborate with business units to integrate compliance requirements into new processes, initiatives, and service models; assist with updates to documentation and training as necessary.

• Compile status updates, risk insights, and summary materials for senior leadership.

• Provide coverage for other Compliance Managers during peak periods or absences to ensure operational continuity.

• Execute other duties as assigned.

⛳️ Requirements

• Bachelor’s Degree.

• A minimum of 5 years of compliance experience in broker-dealer and investment adviser settings.

• At least 3 years of experience leading compliance teams in broker-dealer or investment adviser environments.

• Strong understanding of FINRA regulations and the Investment Advisers Act of 1940, as well as the Securities Exchange Act of 1934.

• Capability to work independently and manage multiple projects concurrently.

• Required securities licenses: S7, S24, S63 and S65, or S66.

🏝️ Benefits

• Competitive Total Rewards package, which includes base salary, incentive programs, benefits, and a 401(k) plan with matching contributions.

• Flexible and hybrid work schedules to promote work-life balance.

• Tuition reimbursement to support ongoing education.

• Opportunities for professional and career development, including courses and certifications.

• Comprehensive wellness programs that promote physical, mental, and emotional health.

• Volunteerism initiatives designed to encourage community engagement.