What are the responsibilities and job description for the Compliance & Administrative Officer position at Fredric E. Russell Investment Management Co.?
Tulsa, OK (United States)
Full-Time | Flexible Hours | Onsite Preferred
Job Details
- Base Salary: Depends on experience
- Type of Job: Full-Time
- Work Authorization: Permanent U.S. Work Authorization Required
- Industry: Investment Management / Wealth – Consulting
- Job Function: Compliance / Operations / Administration
- Preferred GPA: 3.0
- Preferred Major / Academic Program: Business Administration, Finance, Accounting, Information Technology, Hospitality and Tourism, International Business, Computer Science, or related field
- Preferred College / School: School of Business or similar
Job Description
Fredric E. Russell Investment Management Co., a boutique investment firm based in Tulsa, Oklahoma, is seeking a dedicated Compliance & Administrative Officer to support the firm's ongoing regulatory obligations and internal administrative operations. This role is ideal for a highly organized, discreet, and detail-oriented professional who understands the nuances of regulatory compliance in the financial services industry.
Primary Responsibilities
- Maintain and manage the firm’s compliance calendar, including deadlines for SEC/state filings, Form ADV updates, annual privacy notices, and regulatory audits.
- Prepare and manage client onboarding documentation (KYC, investment agreements, disclosures, etc.).
- Organize and maintain accurate and auditable digital and physical records in accordance with compliance standards.
- Assist the COO with internal reporting, procedural documentation, and workflow optimization projects.
- Coordinate with accounting personnel to ensure alignment between financial records and regulatory requirements.
- Support daily administrative operations, including scheduling meetings, document management, and vendor communication.
Requirements
- Minimum 3 years of experience in financial services compliance or administrative roles.
- Familiarity with Registered Investment Adviser (RIA), U.S. Securities and Exchange Commission (SEC), or Financial Industry Regulatory Authority (FINRA) regulatory environments strongly preferred.
- Excellent organizational, writing, and documentation skills.
- Proven ability to handle sensitive information with a high level of discretion and professionalism.
- Proficiency in Microsoft Office Suite, document management systems, and digital workflow tools.
Impact of the Role
- Strengthens the firm’s audit readiness and reduces exposure to regulatory risk.
- Improves internal consistency, operational control, and workflow efficiency.
- Frees up C.O.O and C.E.O to focus on high-level strategic initiatives and client relationship management.
Job Dates
- Application Start: 10/23/2025
- Application Deadline: 11/14/2025
- Anticipated Start Date: Immediate or by 11/21/2025
Application Information
Application Method(s):
- Apply via Email
Required Documents:
- Résumé
- Cover Letter
- References
Optional Documents:
- Recommendation Letter
- Unofficial Transcripts
Primary Job Contact
Francisco Antonio Briceño Narváez – francisco@ferimc.com
Fredric E. Russell – fred@ferimc.com
Fredric E. Russell Investment Management Co.
2200 S. Utica Pl, Ste. 430, Tulsa, OK 74114, United States
Phone: 918-743-5959
Office Hours:
Mon–Thu: 8:00 AM – 4:30 PM
Fri: 8:00 AM – 4:00 PM
Sat–Sun: Closed
Eligibility
- Open to: All Job Seekers with relevant experience