Compliance Manager

Responsibilities

• Lead and maintain FINRA state registration obligations across all required jurisdictions
• Support employee registration filings including U4, U5, fingerprints, and background checks
• Own and execute the compliance calendar — track deadlines, drive timely completion, and escalate to the Compliance Lead as needed
• Lead the annual review and testing cycle across all compliance program areas: advertising, complaints, AML, trade errors, books and records, vendor due diligence, cyber, OFAC, gifts and entertainment, fees and expenses, and more
• Own electronic communications surveillance in Global Relay including keyword configuration and user access
• Lead advertising and collateral approval including FINRA submissions, the advertising log, and annual advertising training
• Own Code of Ethics attestation cycles, desktop procedure management, and client agreements and disclosures review
• Assist the Compliance Lead with regulatory filings including ADV and CRS
• Create and administer compliance training materials across key program areas
• Manage compliance tools including user management, brokerage feed links, and ongoing configuration
• Contribute to AI-focused enhancements to the compliance program and identify automation opportunities
• Serve as liaison with the Firm's compliance consulting firm and support the Compliance Lead on regulatory exams, regulator requests, and upmarket initiatives

Requirements

• 5+ years compliance experience at a FINRA-registered broker-dealer and SEC-registered investment adviser, with deep working knowledge of FINRA Rules, the SEC Rules (including the Marketing Rule, Reg S-P and Reg S-ID), GLBA, and Bank Secrecy Act
• Running supervisory control testing and advertising review across both RIA and BD entities
• Familiarity with compliance technology (e.g., ComplySci, Global Relay), books and records obligations under Rules 17a-4 and 204-2, and AI governance frameworks in a regulated environment
• Hands-on experience executing compliance testing programs
• Strong written communication skills — able to document compliance work to withstand regulatory scrutiny
• Active SIE, Series 7, and Series 24 licenses
• Ability to manage multiple programs and workstreams simultaneously in a lean, high-accountability team
• Familiarity with AI tools in a compliance context and a clear understanding of where human oversight is non-negotiable

Compensation & Benefits

• Cash compensation: $110,640/yr to $136,456/yr in Denver & most major metro locations; $133,615/yr to $164,792/yr for San Francisco & New York
• All full-time employees receive competitive base pay, benefits, and equity (RSUs)