Compliance Manager

About Rothschild

Established in 1908, Rothschild Wealth Partners has grown from a regional brokerage firm into an employee-owned, full-spectrum boutique firm with over $8 billion in assets under advisement. Across our 110 year history, our core mission has remained the same: to empower individuals to make sense of their money, guide them to grow their wealth, and strategically provide robust protection measures.

Role: Compliance Manager

Reports to: Compliance Director / CCO

Level: Manager

Location: Chicago and Oakbrook

Hours: Full-time

Salary Range: $90-120K

Status: Exempt

Overview of the Role:

This role supports the day-to-day execution of the firm’s Broker-Dealer and SEC-registered Investment Adviser compliance programs, with a primary focus on advisor licensing, registration, disclosure monitoring, and internal compliance testing. The position operates as a hands-on individual contributor and serves as a key liaison between advisors, compliance leadership, and internal stakeholders to ensure ongoing adherence to SEC and FINRA requirements.

The role is designed for an experienced compliance professional who can operate independently within established frameworks, escalate issues appropriately, and contribute meaningfully to audits, examinations, and process improvements

Essential Duties and Responsibilities:

●       Run daily/weekly/monthly/quarterly surveillance queues (email/chat reviews, trade surveillance, outside accounts, gifts/entertainment logs, OBAs).

●       Support audits and exams as needed.

●       Support the onboarding and managing of surveillance software.

●       Direct responsibility for employee onboarding including new employee training, registrations, filings.

●       Support CE efforts.

●       Good at “paper trail”: memos, evidence binders, audit-ready notes.

What You’ll Bring:

●       Bachelor’s Degree.

●       FINRA licenses: Series 24 required. Series 7/63/66 strongly preferred.

●       2-5 years in broker-dealer and/or securities compliance.

●       Experience with compliance-related systems and processes.

●       Ability to coordinate across compliance, operations, and legal stakeholders.

●       Experience working within multiple entities with overlapping regulators.

●       Strong documentation skills supporting audit-ready records and evidence.

Why Rothschild

At Rothschild Wealth, we don't rely on preset models. Instead, we offer customizable investment solutions, adapt to alternative investments when appropriate, and use risk management to protect against the downside. We are dedicated students of our trade, constantly enhancing our knowledge of investments, tax strategies, and financial planning. This commitment to continuous learning ensures that we always provide the highest quality service, unlocking our clients’ financial potential.

We recognize our people drive everything we accomplish, and as such, we are dedicated to investing in our employees by fostering a culture of continuous learning, growth, and excellence.

Our team works hard, and we recognize the importance of taking care of our people. We offer a comprehensive suite of benefit offerings to support the health, well-being, and financial health of our employees and their families. Our robust benefits package underscores our commitment to our people, our most important asset. 

Rothschild seeks excellence through diversity in its staff. We prohibit discrimination based on race, color, religion, sex, age, national origin, sexual orientation, gender identity or expression, disability, veteran status, or marital status.