Senior Manager, Client Compliance Operations
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Job Description
Lead compliance processes across True Link’s investment advisory business, impacting clients' lives through efficient operations. Manage workflows ensuring audit-readiness and regulatory compliance in a fintech environment.
Responsibilities:
- Lead and scale critical compliance processes as we grow, to ensure efficiency and accuracy on all account maintenance and documentation.
- Manage end-to-end investment agreement workflows, including new client agreements, re-executions, annual audits, and proper filing of executed contracts.
- Maintain audit-ready records and organize documents, agreements, and disclosures.
- Communicate directly with clients to explain compliance activities and requirements.
- Collaborate with our operations teams to refine advisory fee calculation processes and provide ongoing quality assurance.
- Proactively support audits, regulatory exams, and compliance communications.
- Partner cross-functionally to identify risks, strengthen our systems, and document best practices.
Requirements:
- 7+ years experience in compliance, investment advisory operations, or financial services operations
- Experience scaling compliance at a small, growing financial services or fintech company
- Familiarity with registered investment advisor (RIA) requirements, custodial account opening, and advisory documentation workflows
- Extremely organized, detail-oriented, and comfortable owning repeatable processes with precision
- Comfortable with suggesting and implementing process improvements
- Able to navigate complexity and bring structure, clarity, and consistency to operational systems
- Strong communicator who can partner closely with internal teams such as client services, compliance, and operations, and with external partners
- Comfortable managing documentation, records, and access controls across systems; experience with exams or audits is a plus
Benefits:
- We offer competitive wages
- Health, dental & vision coverage
- Paid parental leave
- 12 paid holidays
- Your own professional development budget
- Awesome vacation package
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