Administrative and Compliance Operations Associate

SAAGA Family Wealth; Miami (FL); On-site; USD 70,000 - 100,000; Full time

Job summary

SAAGA Family Wealth seeks a meticulous Compliance & Operations Associate to support the CCO across the firm's SEC-regulated compliance program and related operations in a Miami-based role.

Responsibilities include policy maintenance, Form ADV filings, FINRA/IARD registrations, vendor due diligence, and training initiatives while ensuring strong documentation and risk oversight.

Qualifications

• Bachelor's degree required, preferably in Finance, Accounting, Economics, Legal, or a related field.
• 2-4 years of compliance experience within the financial services or fintech industry, ideally at an SEC-registered investment adviser.
• Experience drafting, updating, and implementing compliance policies and procedures.
• Highly organized, with strong attention to detail and documentation practices.
• Excellent written and verbal communication skills.
• Ability to exercise sound, independent judgment and handle confidential information with discretion.
• Proactive, resourceful, and comfortable managing a high volume of recurring compliance and operational tasks.
• Ability to work independently and collaboratively in a fast-paced, team-oriented environment.
• Proficiency in Microsoft Office Suite (Excel, PowerPoint, and Word).

Responsibilities

• Assist the CCO with day-to-day compliance responsibilities and execution of the firm's compliance program.
• Maintain and update the firm’s compliance policies and procedures.
• Maintain supervisory records and documentation in accordance with firm standards and applicable recordkeeping rules.
• Prepare and oversee timely filing of Form ADV (Parts 1, 2A, 2B), Form ADV Part 3 (Form CRS), and other regulatory filings applicable to the RIA
• Conduct risk analysis and assist the CCO in identifying and mitigating potential regulatory issues.
• Manage firm and employee/representative registrations through the FINRA Gateway and IARD systems.
• Review all marketing and advertising materials at creation, prior to distribution, and on an annual basis to ensure compliance with the SEC Marketing Rule.
• Review employee-client communications (electronic and written) to maintain compliance with applicable SEC communications rules.
• Administer the firm's Code of Ethics program, including collection of new-hire and employee attestations.
• Maintain accurate and current compliance records and documentation to support regulatory audits and internal assessments.
• Periodically review customer/client accounts and files for consistency with SEC Rule 204-2 and applicable FINRA recordkeeping requirements.
• Provide comprehensive support during internal and external audits, including SEC examinations, and assist in gathering records and information requested by regulators.
• Manage the relationship with the firm's outside compliance consulting firm.
• Lead the firm's compliance training program for employees.
• Support third‑party due diligence and vendor screening processes from a compliance risk perspective.
• Monitor new and changing SEC/FINRA regulations, research their impact on firm operations, and recommend updates to maintain ongoing compliance.

Skills

Communication skills

Attention to detail

Documentation practices

Independent judgment

Time management

MS Office

Judgment and discretion

Education

Bachelor's degree in Finance, Accounting, Economics, Legal, or related field

Tools

Microsoft Office Suite (Excel, PowerPoint, Word)

Job description

Full-time | On-site (Miami, FL) | Reports to the Chief Compliance Officer (CCO)

OVERVIEW

We are seeking a detail-oriented, analytical, and proactive Compliance & Operations Associate to support the Chief Compliance Officer (CCO) across the firm's regulatory compliance program and related operational functions. This role sits within a U.S. Securities and Exchange Commission (SEC)-registered investment adviser (RIA).

This position combines core compliance execution with adjacent operational responsibilities (data/document management, employee and client onboarding-offboarding, and administrative support).

This is an excellent opportunity for a compliance professional to gain hands‑on exposure to investment adviser regulation, work directly with senior leadership, and take on meaningful responsibility in a fast‑paced, mission‑driven environment.

RESPONSIBILITIES

Compliance Program Management

• Assist the CCO with day-to-day compliance responsibilities and execution of the firm's compliance program.
• Maintain and update the firm’s compliance policies and procedures.
• Maintain supervisory records and documentation in accordance with firm standards and applicable recordkeeping rules.
• Prepare and oversee timely filing of Form ADV (Parts 1, 2A, 2B), Form ADV Part 3 (Form CRS), and other regulatory filings applicable to the RIA
• Conduct risk analysis and assist the CCO in identifying and mitigating potential regulatory issues.
• Manage firm and employee/representative registrations through the FINRA Gateway and IARD systems.
• Review all marketing and advertising materials at creation, prior to distribution, and on an annual basis to ensure compliance with the SEC Marketing Rule.
• Review employee-client communications (electronic and written) to maintain compliance with applicable SEC communications rules.
• Administer the firm's Code of Ethics program, including collection of new-hire and employee attestations.
• Maintain accurate and current compliance records and documentation to support regulatory audits and internal assessments.
• Periodically review customer/client accounts and files for consistency with SEC Rule 204-2 and applicable FINRA recordkeeping requirements.
• Provide comprehensive support during internal and external audits, including SEC examinations, and assist in gathering records and information requested by regulators.
• Manage the relationship with the firm's outside compliance consulting firm.
• Lead the firm's compliance training program for employees.
• Support third‑party due diligence and vendor screening processes from a compliance risk perspective.
• Monitor new and changing SEC/FINRA regulations, research their impact on firm operations, and recommend updates to maintain ongoing compliance.

Data & Document Management

• Administer and maintain the firm's document management platform (e.g., Box), including folder structure, access permissions, and version control.
• Ensure the platform's organization and retention practices remain consistent with the firm's recordkeeping requirements under SEC Rule 204-2.

Technology & Cybersecurity Coordination

• Coordinate with the firm's IT function or managed service provider on system access controls, data security practices, and technology issues affecting the firm's cybersecurity posture.
• Administer and maintain compliance‑specific software applications (e.g., communications archiving/surveillance, or cybersecuty monitor platforms), including user access and reporting.
• Support the firm's annual cybersecurity risk assessment and assist the CCO with documentation related to the firm's cybersecurity policies and incident response plan.

Employee Onboarding & Offboarding

• Coordinate onboarding of new employees, including system access setup, attestation collection, and registration through FINRA Gateway/IARD.
• Coordinate offboarding of departing employees, including system access removal, return of firm property, and registration termination or transfer.

Client Onboarding & Offboarding

• Support onboarding of new clients, including account documentation, advisory agreement execution, and initial file setup.
• Support offboarding of departing clients, including account transfer or closure documentation and file archiving.
• Maintain client structure documents (e.g., trust, LLC, partnership, or other entity formation and governance documents) in collaboration with Legal, Operations, and other relevant functions, ensuring records stay current and consistent with firm files.

QUALIFICATIONS

• Bachelor's degree required, preferably in Finance, Accounting, Economics, Legal, or a related field.
• 2–4 years of compliance experience within the financial services or fintech industry, ideally at an SEC-registered investment adviser.
• Experience drafting, updating, and implementing compliance policies and procedures.
• Highly organized, with strong attention to detail and documentation practices.
• Excellent written and verbal communication skills.
• Ability to exercise sound, independent judgment and handle confidential information with discretion.
• Proactive, resourceful, and comfortable managing a high volume of recurring compliance and operational tasks.
• Ability to work independently and collaboratively in a fast‑paced, team‑oriented environment.
• Proficiency in Microsoft Office Suite (Excel, PowerPoint, and Word).

NICE TO HAVE

• Familiarity with regulatory frameorks and reporting requirement from SEC/FINRA.
• Professional certification such as Investment Adviser Certified Compliance Professional (IACCP) or equivalent.
• Familiarity with compliance technology platforms (e.g., Global Relay, ComplianceAlpha, or similar systems).
• Interest in leveraging technology and automation, including AI‑based tools, to streamline compliance and operational processes.

OTHER REQUIREMENTS

• Authorization to work in the United States without restriction or sponsorship.
• Must successfully pass a comprehensive background check prior to employment.