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 they work 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
  
  

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