Compliance Specialist - Regulatory / HR

Join a highly visible, enterprise-wide compliance role where you’ll partner directly with Legal and HR leadership to shape and strengthen regulatory strategy. This is an ideal opportunity for a compliance professional looking to broaden scope across RIA, ERISA, insurance, and corporate governance. You’d be working with a stable organization, in a collaborative work environment, which offers great benefits (100% healthcare for employee) and they work a hybrid schedule! There is a great deal of autonomy in this role and the opportunity to make this position your own with interactions amongst the entire company. Salary: $100,000 – $125,000 Compliance Specialist – Regulatory / HR Why This Opportunity Stands Out Direct exposure to General Counsel and senior HR leadership, offering strong career visibility Broad, multi-disciplinary compliance scope (RIA, ERISA, HR, insurance, privacy, governance) – expand your expertise quickly Opportunity to play a central role in building and enhancing a company-wide compliance program High-impact position with ownership over key filings, audits, and regulatory interactions Hands-on involvement in risk assessments and compliance strategy, not just execution Stable, mission-driven organization with structured processes and long-term focus Autonomy in your day-to-day work with support from executive leadership Exposure to cross-functional teams across legal, HR, finance, and operations Key Responsibilities For The Compliance Specialist – Regulatory / HR Manage regulatory filings and compliance documentation across RIA, ERISA, and insurance programs Oversee HR compliance processes including personnel files, wage/hour alignment, and employment regulations Track and manage contract lifecycle, vendor compliance, and related documentation Support privacy compliance including data requests, opt-outs, and recordkeeping Maintain governance records, entity registrations, and corporate compliance documentation Assist with audits, risk assessments, and ongoing compliance program monitoring Qualifications For The Compliance Specialist – Regulatory / HR Bachelor’s degree in Business, Finance, Legal Studies, HR, or related field 5+ years of compliance or related experience Knowledge of SEC/RIA, ERISA, insurance/MEWA, employment, or privacy regulations Experience supporting regulatory filings and audits #J-18808-Ljbffr CFS