Compliance Manager, Broker-Dealer & Investment Adviser Hybrid

Job description

About the Opportunity

Confidential Search Solutions (CSS) is recruiting an experienced Compliance Manager to support the broker-dealer and registered investment adviser entities of a growing financial services organization.

This is a temp-to-hire opportunity for a hands-on compliance professional who can manage daily compliance operations, regulatory testing, surveillance, registrations, advertising reviews, and examination readiness across both SEC-registered investment adviser and FINRA-registered broker-dealer environments.

This is not a policy-only position. The Compliance Manager will be responsible for executing and documenting key compliance activities while supporting the continued development of a modern, scalable, and defensible compliance program. The role will also help oversee the responsible use of artificial intelligence and automation within the compliance function.

Key Responsibilities

• Manage FINRA firm and state registration requirements across applicable jurisdictions.
• Support employee registrations and filings, including Forms U4 and U5, fingerprinting, and background checks.
• Own and maintain the compliance calendar, ensuring regulatory deadlines and program requirements are completed on time.
• Lead annual compliance testing and review activities involving advertising, complaints, AML, OFAC, trade errors, cybersecurity, books and records, vendor due diligence, gifts and entertainment, and fees and expenses.
• Manage electronic communications surveillance through Global Relay, including keyword configuration, user access, reviews, and escalations.
• Review and approve advertising and marketing materials, maintain the advertising log, coordinate FINRA submissions, and administer annual advertising training.
• Manage Code of Ethics attestations, written supervisory procedures, desktop procedures, client agreements, and regulatory disclosures.
• Assist with regulatory filings, including Forms ADV and CRS.
• Create and administer compliance training across key program areas.
• Manage compliance systems, including user access, brokerage data feeds, and ongoing platform configuration.
• Identify opportunities to responsibly use artificial intelligence and automation to enhance compliance operations.
• Ensure AI-supported compliance activities include appropriate testing, validation, documentation, and human oversight.
• Coordinate with external compliance consultants.
• Support regulatory examinations, regulator requests, audits, and strategic compliance initiatives.

Required Qualifications

• At least five years of compliance experience within both a FINRA-registered broker-dealer and an SEC-registered investment adviser.
• Active SIE, Series 7, and Series 24 licenses.
• Strong working knowledge of FINRA and SEC regulations, including the SEC Marketing Rule, Regulation S-P, Regulation S-ID, GLBA, and the Bank Secrecy Act.
• Hands-on experience conducting supervisory control testing and advertising reviews across broker-dealer and RIA entities.
• Experience designing, executing, documenting, and monitoring compliance testing programs.
• Knowledge of books and records requirements under SEC Rules 17a-4 and 204-2.
• Experience using compliance technology such as ComplySci, Global Relay, or comparable platforms.
• Strong written communication and documentation skills, with the ability to produce work that can withstand SEC and FINRA scrutiny.
• Ability to manage multiple compliance programs, deadlines, and workstreams in a lean, high-accountability environment.
• Familiarity with AI tools and governance principles within a regulated financial services environment.
• Sound judgment regarding when human review, validation, and oversight are required.

Compensation

Compensation is based on work location, experience, licensing, and subject-matter expertise.

The selected candidate will begin on a temporary basis with the opportunity to convert to a permanent position based on performance, business needs, and organizational approval.

About us: Confidential Search Solutions ("CSS") is a full-service equal opportunity employment consulting and legal staffing firm. Headquartered in San Antonio and is one of the premiere executive searches and recruiting firms nationwide. We specialize in helping high performance companies and law firms identify, recruit, and train top talent for their growing organizations. We offer direct hire, contract, and temporary staffing services. For more information about us, visit our website at www.ConfidentialSS.com