Compliance and Office Manager

Compliance Manager & Operations CoordinatorConfidential Financial Services FirmFull-Time | In-OfficePosition SummaryA 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:Compliance Management & Regulatory SupportExecutive Assistant Support to Senior LeadershipOffice Management & Administrative OperationsThe ideal candidate brings exceptional attention to detail, strong follow‑through, and the ability to manage sensitive information with professionalism and discretion.Key Responsibilities1. 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 updatesTrack compliance calendars and ensure timely completion of required filingsPrepare documentation for regulatory audits, examinations, and internal reviewsMaintain logs for training, attestations, certifications, and employee disclosuresAssist with annual compliance reviews and testing proceduresTrack employee licensing, registrations, and continuing educationReview and organize regulatory documentation and internal compliance filesSupport compliance monitoring related to marketing materials and communicationsCoordinate compliance‑related meetings and maintain activity recordsPartner with leadership and consultants on compliance initiatives and process improvementsHelp promote a culture of compliance and operational discipline across the firm2. Executive Assistant Support (Secondary Responsibility)Provide high‑level administrative support to senior leadership.Responsibilities include:Manage executive calendars, scheduling, and meeting coordinationPrepare agendas, presentations, reports, and internal documentsCoordinate travel arrangements and itinerariesAssist with email management, follow‑ups, and task trackingSupport client meeting logistics and preparationServe as a liaison between leadership and internal/external stakeholdersHandle confidential information with discretion and professionalism3. 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 systemsSupport onboarding and offboarding logisticsCoordinate internal meetings, office events, and team logisticsServe as the point of contact for office operations and administrative needsMaintain organized workflows and administrative processesQualifications & Experience5+ years of experience in financial services, compliance, operations, or executive supportExperience in a regulated environment strongly preferred (RIA, broker‑dealer, wealth management, banking, insurance)Familiarity with compliance processes, regulatory documentation, and audit preparationExceptional attention to detail and ability to follow procedures preciselyStrong organizational and time‑management skillsExcellent written and verbal communication skillsHigh level of discretion handling confidential informationProficiency with Microsoft Office; experience with compliance or document management tools preferredPreferred ExperienceExperience supporting RIA compliance programsFamiliarity with SEC regulatory requirementsExperience coordinating compliance documentation, filings, or internal auditsAbility to build and maintain process‑driven systems and workflowsCore CompetenciesStrong regulatory mindset and attention to detailProcess‑oriented and highly organizedHigh integrity and discretionProactive, solutions‑oriented, and accountableAble to manage multiple responsibilities and deadlinesProfessional presence and strong interpersonal skillsWork EnvironmentIn‑office role within a professional financial services environmentRequires handling sensitive financial and compliance‑related informationOccasional early or late hours may be needed to support executive schedules or compliance deadlinesCompensation & BenefitsBase Salary: $75,000–$85,000 DOEBonus: 10–20% performance‑basedBenefits: Health benefits, PTO and paid holidays, 401(k) plan