What are the responsibilities and job description for the Compliance Manager position at SENTINUS HOLDINGS LLC?
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.
Salary : $90,000 - $120,000