Senior Compliance Officer

Description

Job Title: Senior Compliance Officer

Reports to: Managing Director / Chief Compliance Officer of tru Independence

Department: Compliance

Location: Portland, OR or Indianapolis, IN

**Please do not apply if you are unable to reliably commute to Portland OR or Indianapolis, IN at the time of submitting your application**

About tru - Founded in 2014, tru Independence, LLC ('tru') partners with breakaway advisor teams and established RIAs seeking independence, equity ownership, and long-term succession planning. tru provides comprehensive transition support, including custodian selection, compliance setup, technology implementation, and practice management resources. In May 2024, tru was acquired by Sanctuary Wealth, enhancing the combined organization’s ability to deliver premier support to elite financial advisors while maintaining a commitment to independence.

Culture and Benefits - tru fosters a culture of collaboration, gratitude, positivity, and respect. The firm is committed to providing a supportive environment where employees are encouraged to grow, contribute, and thrive. tru strongly believes in a work/life balance. Employees benefit from a hybrid work opportunities following an initial training period. tru also offers competitive compensation, unlimited PTO, and paid company holidays. The Firm follows the NYSE holiday closure schedule.

Role Summary - The Senior Compliance Officer reports to the Managing Director and Chief Compliance Officer of tru Independence, who is located within the tru Home Office in Portland, Oregon. This individual supports multiple investment advisory firms by providing exceptional compliance guidance, regulatory expertise, and ongoing operational support. The role involves collaborating across internal departments, representing compliance in advisor interactions, and helping maintain high regulatory standards.

Essential Responsibilities

• Compliance Department
• Assist and support the Chief Compliance Officer (CCO) with day-to-day compliance operations.
• Help maintain compliance programs to ensure adherence to federal and state securities laws and keep policies updated for each Firm’s business activities.
• Research new rules, regulations, and regulatory guidance on an ongoing basis.
• Serve as liaison with regulators for assigned Firms, coordinating communications, preparing required documentation, and assisting with regulatory exams and remediations.
• Support internal departments with compliance data collection, reporting, and adherence to filing deadlines.
• Maintain current knowledge of regulatory changes through continuing education and review of regulatory publications.
• Back-up Compliance Officer for Compliance Software (ComplySci) administration.
• Back-up Compliance Officer for Electronic Communications Archiving Solution (Smarsh) administration.
• Maintain desk procedures for assigned compliance functions.
• Other duties as assigned.
• Chief Compliance Officer on ADV of Assigned Firms
• Act as the designated Chief Compliance Officer (CCO) for assigned Firms, serving as an integral member of their teams.
• Develop a strong understanding of each Firm's business model and maintain open communication, including recurring compliance meetings.
• Research and respond to Firm requests within established service-level agreements (SLAs), escalating to the CCO as needed.
• Ensure assigned Firms’ ADVs remain up to date and accurately reflect their operations.
• Oversee annual filings, risk assessments, compliance reviews, regulatory training, and other required compliance functions.
• Coordinate annual policy reviews and registration updates.
• Maintain and supervise required books and records for assigned Firms.
• Prepare and analyze compliance audit reports and data.
• Collaborate with Compliance Officers on compliance calendar reviews.
• Other duties as assigned.
  
  
  

Requirements

Qualifications/Requirements

• Bachelor’s degree preferred.
• 3 years of experience in risk management or compliance roles, preferably within the RIA or financial services industry.
• Strong analytical abilities and sound judgment when interpreting regulatory guidance.
• Superior organizational skills and attention to detail.
• Ability to prioritize and adapt to shifting deadlines.
• Strong verbal and written communication skills.
• Collaborative mindset and openness to feedback.
• Knowledge of industry protocols and best practices.
• Strong initiative, accountability, and professional integrity.
• Excellent time management skills and ability to multitask.
  
  
  

Physical Requirements/Working Conditions

• Ability to work in a standard office environment and use standard office equipment, including a computer.
• Must be able to maintain attention to detail despite interruptions and communicate clearly in person and via phone.