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 works 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. Compliance Specialist – Regulatory / HR Salary: $100,000 – $125,000 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

EB-4647824695

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