Senior Compliance & Operations Manager

Company Description

Finivi is an independent, SEC-registered investment advisory firm offering fiduciary and personalized financial advice to business owners, executives, families, and individuals nationwide. Known for its boutique, client-focused approach, Finivi combines a sophisticated, integrated suite of financial services traditionally reserved for the ultra-wealthy into a single accessible solution. Key offerings include investment management, estate planning, retirement strategies, and multi-generational wealth management, all coordinated through a dedicated relationship manager. With a mission to simplify financial complexities, Finivi empowers clients to confidently achieve their financial goals while prioritizing their best interests.

Salary Range: $120,000 to $138,000 Per Year

Job Type: Full-Time, In-Person

Location: Westborough, MA

Position Description

Finivi is seeking a highly organized, detail-oriented Senior Compliance & Operations Manager to oversee the firm’s compliance program and day-to-day operational functions across its registered investment adviser business. Reporting directly to the President/CEO, this is a hands-on leadership role with broad responsibility and autonomy across both regulatory compliance and operational execution.

This position is ideal for a professional who thrives in a small, boutique advisory environment where roles are broad and success requires ownership, adaptability, and follow-through. The role offers meaningful day-to-day responsibility, direct involvement in firm decision-making, and a clear path to expanded leadership as Finivi continues to grow.

Position Overview

The Senior Compliance & Operations Manager will serve as the firm’s primary resource for compliance administration, supervisory oversight, and operational management. This individual will maintain the firm’s regulatory framework, strengthen internal controls, and drive operational improvements that support a scalable, well-governed advisory practice.

The ideal candidate brings sound judgment, strong attention to detail, and the ability to apply compliance and operational requirements in a practical, business-effective manner.

Responsibilities

Compliance Administration

• Administer and maintain the firm’s comprehensive compliance program for its RIA activities, including the development, implementation, and ongoing review of policies, procedures, and internal controls.
• Serve as the firm’s primary compliance resource on day-to-day regulatory, supervisory, and policy-related matters, supporting leadership in risk assessment and control enhancements.
• Oversee compliance testing, monitoring, and surveillance to assess adherence to firm policies, regulatory requirements, and client mandates.
• Maintain and enhance the firm’s compliance calendar, monitoring program, annual review process, and related governance documentation.
• Support regulatory filings, required reporting, compliance certifications, and responses to examinations, audits, and due diligence requests.
• Oversee compliance recordkeeping to ensure books and records are complete, current, and maintained in accordance with retention requirements.
• Monitor regulatory developments affecting RIAs and recommend updates to policies, disclosures, and supervisory practices.
• Develop and deliver compliance training and practical guidance to advisory and operational staff.
• Review, escalate, and document remediation of compliance issues, policy exceptions, and operational breakdowns through resolution.

Operations Management

• Manage and optimize day-to-day office operations, including facilities, supplies, and general administrative functions, ensuring a consistent, high-quality client experience.
• Serve as a liaison across advisory, compliance, and administrative functions to ensure alignment, communication, and operational consistency.
• Identify workflow inefficiencies and lead process improvement initiatives across the firm’s operational infrastructure.
• Oversee vendor relationships, technology platforms, and third-party service providers supporting firm operations and client service.
• Maintain current operational documentation, internal procedures, and staff-facing guidance materials.
• Coordinate client communications, including newsletters, email campaigns, and event invitations, using the firm’s CRM and communication platforms.

Qualifications

• Bachelor’s degree in finance, business, accounting, economics, or a related field preferred.
• 3 years of experience in compliance, operations, wealth management, investment administration, or a related function within an RIA or financial services environment.
• Comfortable in a small, boutique firm where success requires hands-on ownership of both strategic initiatives and day-to-day execution.
• Working knowledge of RIA compliance practices, supervisory processes, regulatory expectations, and documentation standards, or the demonstrated ability to ramp up quickly.
• Proven ability to balance and prioritize both compliance and operational responsibilities, identify risks, and drive issues through to resolution.
• Able to operate independently and confidently manage day-to-day office and operational responsibilities without direct, on-site supervision.
• Adaptable and eager to learn new systems, processes, and technologies in a fast-evolving environment.
• Comfortable working with technology platforms (CRM, portfolio reporting, workflow, and administrative systems) and curious about how automation and AI can improve efficiency.
• Excellent organizational, analytical, and communication skills, with a high level of professionalism, discretion, and sound judgment.

Growth Opportunity: This role offers broad and meaningful responsibility across compliance administration, supervisory oversight, and firm operations within a growing advisory firm. As Finivi expands, this position provides a clear path to increased scope and progression into senior leadership.

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Life insurance
• Paid time off
• Vision insurance