Regulatory Compliance Manager, Operational Improvement
Builds and maintains operational compliance processes including supervision, surveillance, registrations, reporting, and exam readiness for a financial services firm. Requires experience in investment advisory or broker-dealer compliance, FINRA/SEC regulations, and cross-functional collaboration.
About the job
Responsibilities
- Execute and continuously improve supervision and surveillance processes, including trade and account reviews, Reg BI and Form CRS governance support, OBAs, gifts and entertainment monitoring, and insider trading surveillance
- Own registration operations and new-hire onboarding workflows, including U4/U5 processing, WebCRD updates, tracking, coordination, and required training support
- Drive recurring regulatory reporting and exam readiness activities, including ADV updates, Rule 3120/3130 support materials, AML coordination, vendor due diligence, and audit preparation
- Support responses to regulatory inquiries and exams by maintaining clear documentation, testing evidence, and escalation paths
- Partner with internal stakeholders to operationalize regulatory change management, ensuring updates to rules and requirements are implemented in a timely, consistent manner
- Identify opportunities to standardize, document, and improve compliance processes to support scale and reduce operational risk
Requirements
- Experience in regulatory compliance operations within investment advisory, broker-dealer, or financial services environments
- Working knowledge of supervision, surveillance, and testing requirements, including Reg BI, Form CRS, and FINRA/SEC supervisory expectations
- Hands-on experience with registrations and licensing processes (U4/U5, WebCRD, onboarding coordination)
- Strong organizational and process-oriented mindset, with a focus on consistency, documentation, and follow-through
- Ability to manage recurring compliance deliverables and deadlines across multiple workstreams
- Comfort partnering with cross-functional teams in a fast-paced, evolving environment
- Experience supporting regulatory exams, audits, and ongoing reporting obligations
Nice-to-Haves
- Familiarity with compliance tools, surveillance systems, and vendor management processes
Benefits
- 100% employer-covered medical insurance for employees (75% for dependents), plus dental and vision
- 401(k) retirement savings program
- Paid Time Off plus most federal holidays
- Comprehensive parental leave
- Select meals covered throughout the week
- Monthly fitness stipend
- Equity and career growth opportunities
- Annual compensation reviews
Skills
Reg Bi, Form Crs, Finra, Sec, U4/U5, Webcrd, AML, Adv, Rule 3120, Rule 3130
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