Compliance Generalist
Employment Information
Report this job
Job expired or something wrong with this job?
Job Description
Compliance Generalist supporting compliance operations at SEC-registered investment adviser managing $1B in assets. Engaging in compliance policies and developing systems as needed.
Responsibilities:
- Serve as a day-to-day partner of the compliance team.
- Maintain the Compliance Manual, BCP, and overall policies for the firm.
- Execute and document ongoing compliance testing, including fee billing audits.
- Contribute to the annual Rule 206(4)-7 review process.
- Review financial planning engagements and compliance of fee-for-service arrangements.
- Participate in onboarding new advisors, including filings and training.
- Deliver training materials and guidance to advisors and staff.
- Edit, recommend, and amend compliance policies as needed.
- Monitor TAMP operations and document vendor reviews.
- Support Form ADV preparation and assist with regulatory filings.
- Serve as a compliance resource for advisor questions.
- Administer personal trading monitoring and employee certifications.
- Help ensure the firm’s audit-readiness prior to examinations.
- Review marketing materials for compliance with Rule 206(4)-1.
Requirements:
- 3–8 years of compliance experience at an SEC-registered RIA.
- Working knowledge of the Investment Advisers Act of 1940 and fiduciary obligations.
- Experience with compliance testing, monitoring, and regulatory filings.
- Comfort with compliance technology platforms (Orion, Hadrius, ComplySci, RedOak, etc.) and systems (CRD, EDGAR, IAPD).
- Ability to work independently and manage competing priorities.
- Proactive, solutions-oriented approach.
- Comfortable on calls and in the weeds with advisors on real issues.
- Legally authorized to work in the United States without sponsorship.
Benefits:
- 100%- employer-funded Employee Stock Ownership Plan (ESOP).
- Unlimited vacation days to maintain work-life harmony (requiring a minimum of 3 weeks per year).
- 9 paid holidays with flexible options.
- 401(k) with matching (6% employee contribution, 4.5% company match).
- 12 weeks paid parental leave for childbirth or adoption.
- Health insurance with employer contribution.
- Options for Dental, Vision, Voluntary Life and AD&D, and Accident insurance.
- Availability of pet insurance.
- Health Savings & Flex Spending Accounts.
- Employer-paid Life and AD&D insurance.
- Employer-paid Long Term Disability coverage.
- Up to $150/month for financial planner services, plus $500 towards upfront fees.
- $2000/year for professional development (prorated by start date).
- $250/quarter wellness allowance.
- $500 donation to a non-profit for 40 hours of volunteering.
- Sabbatical program with bonuses and extra time off at 5, 10, and 15 years.
- Subsidized employer-sponsored childcare (availability may vary).
- Company-issued Apple laptop.
Similar Jobs
Healthcare Compliance Coordinator, English & Spanish
Compliance Coordinator ensuring credentialing and compliance operations remain documented for healthcare aides and therapists. Requires bilingual fluency in English and Spanish with strong organizational skills.
Director of Compliance Testing
Director of Compliance Testing overseeing compliance testing for risk management at Origin Bank. Developing and executing a comprehensive risk-based compliance program while supervising a team.
Compliance Coordinator
Regulatory and Compliance Coordinator assisting Stride Inc. with grants and contracts activities. Responsible for compliance reporting, submissions, and archival activities related to workforce investments.
Client Engagement Ops Analyst – Regulatory Risk Management
RRM Specialist managing a portfolio of regulatory and risk-sensitive client cases. Collaborating with Legal and Compliance teams to meet case handling standards in a remote environment.
Risk and Compliance Officer
Risk and compliance management intern supporting RATP Solutions Ville in addressing urban challenges. Collaborating on risk management, compliance, and internal control activities.
Compliance Manager
Manager of Compliance overseeing quality and regulatory activities for a Software as a Medical Device organization. Leading a compliance team and ensuring adherence to various regulations and standards.
Regulatory Affairs Specialist
Regulatory Affairs Specialist supporting compliance and quality reporting for Radiology, Anesthesia, and other specialties. Collaborating with Operations, Coding, and Business Intelligence teams to ensure regulatory readiness.
Senior Health and Safety Compliance Specialist
Senior Health and Safety Compliance Specialist at EHS Support leading compliance projects and mentoring. Responsible for H&S training, auditing, and regulatory reporting across various sectors.
Payer Compliance Specialist I
Payer Compliance Specialist analyzing allowed claims amounts and resolving payer issues at US Anesthesia Partners. Requirements include revenue cycle experience and healthcare billing knowledge.
Manager of Internal Audit – Compliance
Manager of Internal Audit & Compliance responsible for executing global audit strategy at RingCentral. Leading audit workflows and mentoring a high-performing audit team in a fast-paced tech environment.
Regulatory Compliance Analyst
Regulatory Compliance Analyst developing and maintaining audit compliance of financial systems for Northrop Grumman. Analyzing data, preparing proposals, and supporting financial audits as part of the aeronautics team.
Compliance Programme Lead
Compliance Programme Lead overseeing compliance projects ensuring adherence to laws and regulations. Leading compliance program development with a focus on risk assessments and project management in a remote-first environment.
Compliance Analyst
Compliance Analyst at NRMP overseeing case management and ensuring adherence to matching program policies. Collaborating with various stakeholders to address compliance matters while managing documentation effectively.
Regulatory Advisor, German
Advisory Services role at Ashbury reviewing product information and advising on compliance. Collaborating with clients to ensure regulatory alignment and timely product launches.
Compliance Specialist
Compliance Specialist executing operational activities to ensure adherence to healthcare regulatory requirements. Collaborating on training, monitoring, documentation, and communications within CDL Nuclear's Compliance Program.
GRC Architect
Contract GRC Architect role focusing on Risk Management processes and governance frameworks. Collaborating cross-functionally to enhance risk management strategies in IT Services industry.
Regulatory Affairs Consultant – Contract, Ad Hoc Support
Regulatory Affairs Consultant providing ad hoc FDA regulatory support for IVD medical devices. Seeking expertise in FDA IVD regulatory pathways, especially Antimicrobial Susceptibility Testing diagnostics.
Senior Manager, Regulatory Submissions
Senior Regulatory Submissions Manager overseeing the operational aspects of regulatory submissions for U.S. and international agencies. Ensuring high-quality submissions delivered on-time in compliance with regulations.
Manager, Government Program Compliance – Risk Adjustment
Compliance Manager focused on Government Program regulations and overseeing operational compliance. Collaborating with multiple teams to manage risks and ensure adherence to laws for HCSC.
Manager, Government Program Compliance, Pharmacy
HCSC is looking for a Manager to oversee Government Program Compliance in healthcare regulations. Focused on Medicare and Medicaid, evaluating compliance, risks, and reporting.