Compliance Manager

Thompson Investment Management, Inc. is an independent investment management firm serving individuals, businesses, foundations, and other institutions through customized portfolio management and proprietary mutual funds. The firm provides comprehensive advice and guidance to clients facing a wide range of financial concerns, helping them pursue long-term financial goals. Thompson Investment Management, Inc. also partners with business owners and human resource managers to design and manage company-sponsored retirement plans. Team members work in a collaborative, client-focused environment where integrity, analytical rigor, and personalized service are central to the firm’s culture. Role Description The Compliance Manager is a full-time, on-site role based in Madison, WI. This role is responsible for developing, implementing, and monitoring the firm’s compliance program to ensure adherence to applicable securities laws, regulations, and internal policies. Day-to-day responsibilities include reviewing and updating compliance policies and procedures, conducting periodic compliance testing and internal audits, and monitoring employee trading and code of ethics requirements. The Compliance Manager will prepare and maintain regulatory filings and records, support responses to regulatory examinations, and stay current with regulatory changes impacting investment advisers and mutual funds. The role collaborates with portfolio managers, operations, and client service teams to provide guidance on compliance matters, deliver training, and promote a culture of risk awareness and regulatory responsibility. Qualifications Strong knowledge of investment adviser and mutual fund regulations (e.g., SEC rules, Investment Advisers Act, compliance program requirements) and experience managing or supporting a compliance function. Proficiency in compliance monitoring, risk assessment, policy development, and internal testing or audit processes within a financial services environment. Excellent analytical, problem-solving, and critical-thinking skills, with the ability to interpret complex regulations and apply them to practical business situations. Clear written and verbal communication skills, including the ability to draft policies, prepare regulatory filings and provide training to team members at all levels. High attention to detail, strong organizational skills, and the ability to manage multiple priorities and deadlines in a structured, consistent manner. Demonstrated integrity, sound judgment, and commitment to maintaining confidentiality and ethical standards in all aspects of work. Bachelor’s degree in finance, business, accounting, law, or a related field; professional certifications such as IACCP, CPA, CFA, or similar credentials are a plus. Experience working in an investment management firm, wealth management practice, or related financial institution is strongly preferred. #J-18808-Ljbffr