Compliance Manager | SEC/RIA

Compliance Manager | SEC / RIA Oversight About the Opportunity A growing investment management organization is seeking a Compliance Manager to oversee and enhance its regulatory compliance framework across advisory operations, fund oversight, and internal controls. This individual will play a critical leadership role in maintaining adherence to SEC regulations while partnering closely with legal, operations, and executive leadership. The ideal candidate will bring deep SEC/RIA compliance expertise, strong leadership capabilities, and experience within asset management, hedge funds, or private funds environments. Key Responsibilities Lead and manage the firm’s SEC/RIA compliance program Develop, review, and enhance compliance policies and procedures Maintain compliance calendars, regulatory tasks, and monitoring programs Review marketing, advertising, and client-facing materials for regulatory adherence Support regulatory examinations, audits, and filings Oversee AML/KYC processes and third-party administrator relationships Partner with outside counsel regarding vendor agreements and legal documentation Ensure proper maintenance and organization of legal and compliance records Collaborate cross-functionally with operations, legal, and executive teams Monitor evolving regulatory requirements and implement updates when necessary Qualifications Bachelor’s degree required; advanced degree or JD preferred 5+ years of SEC/RIA compliance experience 3+ years of leadership or team management experience Strong understanding of the Investment Advisers Act of 1940 Knowledge of SEC, FINRA, and CFTC/NFA regulations Background within hedge funds, private funds, RIAs, or asset management firms Experience designing and implementing compliance programs Strong project management and organizational skills Ability to manage multiple priorities in fast-paced environments #J-18808-Ljbffr Ascendo Resources