Compliance Manager

Larson Maddox; Atlanta (GA); On-site; USD 130,000 - 160,000; Full time

Benefits offered by this job

Annual bonus

Benefits package

High-visibility role

Direct exposure to leadership

Job summary

Larson Maddox in Alpharetta, GA is seeking a Compliance Manager to own the broker-dealer compliance program with a focus on fixed income products and capital markets. The role collaborates with business leaders, legal teams, and senior management to drive regulatory excellence.

The ideal candidate has 5+ years in financial services compliance, strong FINRA/SEC knowledge, and the ability to manage regulatory examinations and testing. This is an on-site opportunity with exposure to leadership.

Qualifications

• 5+ years of compliance experience within broker-dealer/financial services
• Strong knowledge of FINRA and SEC regulations
• Experience supporting fixed income trading/products or capital markets
• Familiarity with compliance monitoring, surveillance, testing, and regulatory examinations
• Excellent communication and relationship-building skills
• Ability to work independently in a fast-paced environment

Responsibilities

• Support and oversee the firm’s broker-dealer compliance program.
• Monitor regulatory developments and ensure adherence to SEC/FINRA rules.
• Provide compliance guidance related to fixed income products, trading activities, and business operations.
• Assist with regulatory examinations, inquiries, and audits.
• Develop, review, and maintain compliance policies, procedures, and controls.
• Conduct compliance testing, monitoring, and risk assessments.
• Partner with stakeholders to identify and mitigate compliance risks.
• Deliver compliance training and regulatory guidance to employees.
• Assist with regulatory filings and reporting obligations as needed.

Skills

Broker-dealer compliance

FINRA/SEC regulations

Fixed income trading

Regulatory examinations

Communication

Independent work

Education

Bachelor’s degree or equivalent

Job description

Location: Alpharetta, GA (On-Site)

Compensation: $130,000 - $160,000 Base Salary + Bonus

A growing financial services organization is seeking a Compliance Manager to join its team in Alpharetta, GA. This individual will play a key role in supporting and enhancing the firm’s compliance program, with a particular focus on broker-dealer activities and fixed income products.

This is an excellent opportunity for a compliance professional looking to take ownership of regulatory initiatives while partnering closely with business leaders, legal teams, and senior management.

Key Responsibilities

• Support and oversee the firm’s broker-dealer compliance program.
• Monitor regulatory developments and ensure adherence to applicable SEC, FINRA, and other regulatory requirements.
• Provide compliance guidance related to fixed income products, trading activities, and business operations.
• Assist with regulatory examinations, inquiries, and audits.
• Develop, review, and maintain compliance policies, procedures, and controls.
• Conduct compliance testing, monitoring, and risk assessments.
• Partner with stakeholders across the business to identify and mitigate compliance risks.
• Deliver compliance training and regulatory guidance to employees.
• Assist with regulatory filings and reporting obligations as needed.

Qualifications

• 5+ years of compliance experience within a broker-dealer, investment firm, or financial services environment.
• Strong knowledge of FINRA and SEC regulations.
• Experience supporting fixed income trading, products, or capital markets activities.
• Familiarity with compliance monitoring, surveillance, testing, and regulatory examinations.
• Excellent communication and relationship-building skills.
• Ability to work independently in a fast-paced environment.

Preferred

• FINRA licenses (Series 7, 24, or similar) are a plus.
• Experience working directly with traders, sales teams, or front-office personnel.
• Bachelor’s degree or equivalent industry experience.

What You’ll Get

• Competitive base salary of $130,000 - $160,000
• Annual performance bonus
• Strong benefits package
• High-visibility role with direct exposure to leadership
• Opportunity to make a meaningful impact within a growing organization