Compliance Manager

Essential Duties and Responsibilities Manage and oversee assigned compliance programs across the firm's Broker-Dealer and Registered Investment Adviser operations. Develop, implement, and maintain supervisory, monitoring, and testing procedures designed to identify regulatory risks. Conduct periodic reviews of policies, procedures, and controls to ensure alignment with SEC, FINRA, state, and firm requirements. Monitor regulatory developments and evaluate the operational impact of new rules, guidance, and enforcement trends. Surveillance, Testing, and Risk Management Oversee execution of daily, monthly, quarterly, and annual surveillance activities. Review and analyze surveillance findings, exception reports, and compliance alerts. Design and execute risk‑based testing and monitoring programs. Identify compliance deficiencies, determine root causes, and recommend corrective action plans. Track remediation efforts and verify completion of corrective actions. Regulatory Examinations and Audits Serve as a primary coordinator for SEC, FINRA, state regulatory examinations, and internal audits. Manage regulatory requests, document production, and examination logistics. Draft examination responses, deficiency analyses, and remediation plans. Maintain examination‑ready documentation, evidence repositories, and compliance records. Assist in annual compliance reviews and risk assessments. Advisor and Business Support Serve as a compliance resource for advisors, principals, operations personnel, and leadership. Provide guidance regarding registrations, disclosures, outside business activities, private securities transactions, communications, advertising, and other regulatory matters. Assist business units in developing compliant operational processes and controls. Escalate significant compliance concerns to senior management and the CCO as appropriate. Leadership and Staff Development Provide oversight, coaching, and quality review for Compliance Coordinators and other junior compliance personnel. Delegate and prioritize departmental responsibilities while maintaining service levels and regulatory deadlines. Training and Education Deliver compliance training to employees, registered representatives, and investment adviser personnel. Support annual compliance meetings and continuing education initiatives. Develop educational materials and guidance related to regulatory requirements and firm policies. Qualifications and Experience 5+ years of experience in financial services compliance, regulatory supervision, or risk management. Experience supporting Broker-Dealer and SEC-registered Investment Adviser compliance programs. Working knowledge of SEC, FINRA, and state regulatory requirements. Experience managing audits, examinations, and regulatory inquiries. Demonstrated ability to analyze regulatory risk and recommend practical business solutions. Bachelor's degree or equivalent industry experience. Licenses and Registrations SIE Series 7 Series 24 Series 65 or Series 66 The firm will support additional licensing and registration requirements as necessary. Rothschild Wealth Partners offers a competitive total rewards package designed to support your professional and personal well‑being. The base salary range for this position is $120,000 – $140,000 , commensurate with experience, plus eligibility for an annual performance bonus . Additional benefits include: Flexible time off Summer hours on Fridays Market holidays observed Rothschild Wealth Partners is an equal opportunity employer. Final compensation will be determined based on the candidate's experience, qualifications, and skills. #J-18808-Ljbffr