Compliance Accounting Manager

We are a premier investment advisory firm that manages both separately managed accounts and our proprietary mutual funds. In addition, we provide comprehensive retirement plan services. We pride ourselves on a culture of excellence, regulatory integrity, and dedicated client service.

Role Overview

We are seeking a detail-oriented, audit-focused Compliance/Accounting Manager to take a hands-on role in ensuring adherence to SEC and state regulations for both our mutual fund company and our registered investment adviser (RIA).

On the compliance side, you will manage our compliance program, policies, and procedures through internal audits, filings, staff training, and trading reviews. On the accounting side, you will serve as the core liaison to our public accounting firm. You will use your deep understanding of journal entries, accrual accounting, and financial statements to analyze account changes, confirm statement accuracy, and manage the monthly close process.

Additionally, this role includes a marketing compliance component, where you will review promotional materials against SEC regulations, coordinate with our mutual fund distributor, and support 2 to 3 industry marketing events and conferences each year.

Core Responsibilities

Regulatory Compliance & Auditing You will monitor and test internal processes to ensure total firm compliance with investment company and adviser regulations. This includes updating policies based on regulatory changes, training staff and investment adviser representatives, and conducting internal AML audits. You will also monitor digital communications and personal trading activity, conduct risk analyses using the Compliance Program Risk Matrix, and oversee third-party vendors and services provided by US Bancorp, our Transfer Agent, and our Distributor.

Corporate Accounting & Financial Analysis You will coordinate financial statement preparation with our local CPA firm, review QuickBooks records for proper classification, and perform regular variance analysis to report back to the ownership team and Enterprise Risk Management Committee. Your technical duties will include managing accrual setups, performing true-ups of actual expenses, verifying shareholder servicing invoices against contracts, and completing document requests for corporate tax returns. You will also prepare company valuation analyses, 15(c) financial reports, facilitate budget preparation, and manage bank lines of credit and corporate insurance renewals.

Marketing Compliance & Event Support You will develop a deep mastery of SEC Marketing Rule 206, applying its requirements to review and approve all RIA and mutual fund advertisements. You will coordinate secondary distributor oversight, manage strict SEC record retention requirements, and help prepare requests for proposal (RFPs). This role also coordinates and attends 2 to 3 industry conferences per year alongside our Portfolio Managers, managing booth setup and compliance materials.

Qualifications and Skills

Education and Experience

• Bachelor’s degree in Accounting, Finance, or a Law-related background.
• 4 to 6 years of experience across the accounting, audit, or legal industries.
• Prior experience with an investment company or investment adviser is highly preferred.
• CPA designation is desirable but not required.

Licensing and Software

• Series 65 license is required (can be obtained post-hire while working).
• Advanced Excel skills and working knowledge of Microsoft Office tools.
• Experience with QuickBooks or comparable accounting software is preferred.
• Experience with ACA Compliance software and Advent is highly desirable.

Professional Competencies

• Deep understanding of financial statements, the monthly close process, and accrual accounting.
• Strong ability to interpret complex regulations and practically apply them to existing programs.
• Proven problem-solving skills, a proactive mindset, and exceptional attention to detail.
• Excellent interpersonal and communication skills with the absolute ability to maintain confidentiality.
• Strong organizational skills with the ability to manage multiple priorities independently or within a team.

Benefits and Perks

• Competitive salary ($90k - $120k)
• 401(k) with company matching
• Profit-sharing opportunities
• Comprehensive health, dental, and vision insurance
• Flexible Spending Account (FSA)
• Life, short-term, and long-term disability insurance
• Paid Time Off (PTO) and paid parental leave
• Professional development assistance (Note: Waiting periods may apply for certain benefits)