Admin & Compliance Coordinator

Job Description

Innova Advisors is seeking an organized, proactive, and detail-oriented professional to manage daily business operations, financial and employee administration, and compliance support.

This position works closely with the COO, Managing Director, Investment Advisers, outsourced Chief Compliance Officer (CCO), and external service providers. The ideal candidate takes ownership of tasks, follows through on outstanding items, and handles confidential information with professionalism and discretion.

Key Responsibilities

Financial Administration & Treasury

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• Maintain accurate financial records, recording and categorizing all income, expenses, receipts, and payments.
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• Prepare and update cash flow reports and forecasts, manage cash availability, and plan payments to meet the firm’s obligations.
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• Manage the firm’s bank accounts, execute transfers, pay vendor invoices, and process expense reimbursements in accordance with established approval procedures.
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• Prepare and process payroll directly through ADP, including approved salary, commission, and bonus payments.
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• Manage client billing, prepare billing reports, and track payments and outstanding balances.
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• Prepare and maintain the operating budget, track actual results against budget, and report variances to management.
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• Compile and deliver year-end financial records and supporting documentation to the external accountant for preparation of the financial statements.
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Employee Administration

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• Support recruitment and hiring logistics as needed, and coordinate employee onboarding and offboarding.
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• Maintain employee records and administer benefits, vacation balances, time-off requests, and related approvals.
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• Follow up with employees on required documentation, policy acknowledgments, and administrative deadlines.
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Compliance Support

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• Coordinate compliance tasks, deadlines, and documentation under the direction of the CCO and external compliance consultants.
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• Perform individual and batch screening through LSEG World-Check One, review potential matches, maintain ongoing monitoring records, and escalate unresolved concerns to the CCO.
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• Collect and maintain client due diligence documentation, following up on missing or outdated information.
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• Track employee compliance certifications, acknowledgments, and disclosures, and organize records for compliance reviews, audits, regulatory examinations, and filings.
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• Support the maintenance and distribution of compliance policies, procedures, and client disclosures following CCO review and approval.
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Office Operations & Vendor Management

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• Manage vendor relationships, service agreements, subscriptions, and renewals.
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• Maintain vendor due diligence files, including applicable tax forms, privacy policies, cybersecurity documentation, and business continuity information, in coordination with the CCO.
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• Coordinate daily office services, supplies, equipment, and provider support.
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• Prepare correspondence, reports, presentations, and other business documents, and handle routine calls and inquiries.
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• Maintain organized corporate files and contracts, document internal procedures, and identify opportunities to improve workflows and control expenses.
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Required Qualifications

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• Bachelor’s degree in business administration, accounting, finance, or a related field, or equivalent relevant professional experience.
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• Experience in business operations, compliance or financial administration.
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• Hands-on experience maintaining financial records, managing cash flow, executing payments, and processing payroll.
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• Fluency in English and Spanish, with strong written and verbal communication skills in both languages.
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Excellent organizational skills, attention to detail, and the ability to manage competing priorities independently.

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• Sound judgment, discretion, and the ability to recognize when an issue requires escalation.
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Preferred Qualifications

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• Previous experience with a Registered Investment Adviser (RIA), wealth management firm, private bank, or broker-dealer.
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• Familiarity with client due diligence, sanctions screening, ongoing monitoring, and compliance recordkeeping.
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• Experience using LSEG World-Check One, ADP, CRM systems, and electronic signature tools.
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• Experience in employee administration and coordinating with external accountants, compliance consultants, and other service providers.
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Equal Opportunity Employer

Innova Advisors is an Equal Opportunity Employer. We consider all qualified applicants without regard to race, color, religion, sex, pregnancy, gender identity, sexual orientation, national origin, age, disability, veteran status, or any other characteristic protected by applicable law. Employment decisions are based on qualifications, merit, and business needs.