Compliance Manager

Location: Alpharetta, GA (On-Site) Compensation: $130,000 - $160,000 Base Salary + Bonus A growing financial services organization is seeking a Compliance Manager to join its team in Alpharetta, GA. This individual will play a key role in supporting and enhancing the firm’s compliance program, with a particular focus on broker-dealer activities and fixed income products. This is an excellent opportunity for a compliance professional looking to take ownership of regulatory initiatives while partnering closely with business leaders, legal teams, and senior management. Key Responsibilities Support and oversee the firm’s broker-dealer compliance program. Monitor regulatory developments and ensure adherence to applicable SEC, FINRA, and other regulatory requirements. Provide compliance guidance related to fixed income products, trading activities, and business operations. Assist with regulatory examinations, inquiries, and audits. Develop, review, and maintain compliance policies, procedures, and controls. Conduct compliance testing, monitoring, and risk assessments. Partner with stakeholders across the business to identify and mitigate compliance risks. Deliver compliance training and regulatory guidance to employees. Assist with regulatory filings and reporting obligations as needed. Qualifications 5+ years of compliance experience within a broker-dealer, investment firm, or financial services environment. Strong knowledge of FINRA and SEC regulations. Experience supporting fixed income trading, products, or capital markets activities. Familiarity with compliance monitoring, surveillance, testing, and regulatory examinations. Excellent communication and relationship-building skills. Ability to work independently in a fast-paced environment. Preferred FINRA licenses (Series 7, 24, or similar) are a plus. Experience working directly with traders, sales teams, or front-office personnel. Bachelor’s degree or equivalent industry experience. What You’ll Get Competitive base salary of $130,000 - $160,000 Annual performance bonus Strong benefits package High-visibility role with direct exposure to leadership Opportunity to make a meaningful impact within a growing organization #J-18808-Ljbffr Larson Maddox