💼 About This Role

You'll build and maintain the operational compliance cadence that supports our growth, evolving regulatory requirements, and broker-dealer supervision needs. You'll drive recurring regulatory reporting and exam readiness while partnering with internal stakeholders to operationalize regulatory change. This role focuses on execution, consistency, and continuous improvement to keep us exam-ready without last-minute fire drills.

🎯 What You'll Do

• Execute and improve supervision and surveillance processes, including trade and account reviews.
• Own registration operations and new-hire onboarding workflows, including U4/U5 processing.
• Drive recurring regulatory reporting and exam readiness activities, including ADV updates.
• Support responses to regulatory inquiries by maintaining clear documentation and test evidence.

📋 Requirements

• Experience in regulatory compliance operations within investment advisory or broker-dealer environments.
• Working knowledge of supervision, surveillance, and testing requirements, including Reg BI and FINRA/SEC expectations.
• Hands-on experience with registrations and licensing processes (U4/U5, WebCRD).
• Ability to manage recurring compliance deliverables across multiple workstreams.

✨ Nice to Have

• Experience supporting regulatory exams and audits.
• Familiarity with compliance tools and surveillance systems.
• Vendor management experience.

🎁 Benefits & Perks

• 🏥 100% employer-covered medical insurance for employees and 75% for dependents.
• 📈 401(k) retirement savings program.
• 🏖️ Paid Time Off plus most federal holidays.
• 👶 Parental Leave for growing families.
• 🍽️ Select meals covered throughout the week.