Compliance Manager

Main Line Search; Conshohocken (Montgomery County); On-site; USD 120,000 - 180,000; Full time

Job summary

Main Line Search is seeking a hands-on compliance leader for a boutique registered investment advisory firm. You will oversee the full compliance program, regulatory filings, monitoring, policy administration, and personal trading oversight, partnering with leadership to ensure ongoing regulatory adherence and best practices.

In a tight-knit organization, you will shape risk management, conduct training, manage vendor oversight, and support regulatory examinations, with meaningful impact on the

Qualifications

• Bachelor's degree required
• 3–5+ years of investment adviser, asset management, or financial services compliance experience
• Strong understanding of the Investment Advisers Act of 1940 and related SEC regulations
• Experience supporting or participating in regulatory examinations
• Familiarity with advisory products, managed accounts, and portfolio management environments

Responsibilities

• Oversee all aspects of the firm's compliance program, including regulatory filings, monitoring, policy administration, marketing review, personal trading oversight, and regulatory examination support
• Serve as the firm's primary compliance resource and work with leadership to ensure adherence to regulatory requirements and best practices
• Influence firm-wide policies, procedures, and risk management initiatives
• Coordinate annual compliance meetings and ongoing compliance communications
• Review marketing and client communications for regulatory compliance
• Oversee third-party vendors and service providers; support cybersecurity, business continuity, and disaster recovery compliance initiatives

Skills

Regulatory compliance

SEC regulations

Policy administration

Training & education

Risk management

Education

Bachelor's degree

Job description

A boutique registered investment advisory firm is seeking a hands‑on compliance leader to manage the firm's compliance program. This is an excellent opportunity for an experienced compliance professional who enjoys operating as a strategic partner to leadership while maintaining day‑to‑day ownership of regulatory and compliance responsibilities.

The ideal candidate will be proactive, collaborative, and comfortable working in a small firm environment where they can make a meaningful impact on the organization's compliance framework and risk management initiatives.

Position Summary

This individual will oversee all aspects of the firm's compliance program, including regulatory filings, compliance monitoring, policy administration, marketing review, personal trading oversight, and regulatory examination support. This individual will serve as the firm's primary compliance resource and work closely with leadership to ensure ongoing adherence to regulatory requirements and industry best practices.

This role offers the opportunity to influence firm-wide policies, procedures, and risk management initiatives while helping support the continued growth of the organization.

Key Responsibilities

Compliance Program Leadership

• Oversee and administer the firm's compliance program in accordance with SEC and Investment Advisers Act requirements
• Monitor regulatory developments and assess their impact on firm operations
• Partner with leadership to maintain and enhance a robust compliance framework
• Provide practical compliance guidance and recommendations to management

Regulatory Oversight & Risk Management

• Manage compliance testing and monitoring activities, including annual reviews and risk assessments
• Identify potential compliance risks and develop effective mitigation strategies
• Assist with regulatory examinations, audits, and information requests
• Prepare and maintain required regulatory filings and documentation
• Draft, update, and maintain compliance policies and procedures
• Administer the firm's Code of Ethics and personal securities transaction monitoring program
• Conduct compliance training and educational programs for employees
• Coordinate annual compliance meetings and ongoing compliance communications
• Review marketing and client communications for regulatory compliance
• Assist with oversight of third-party vendors and service providers
• Support cybersecurity, business continuity, and disaster recovery compliance initiatives

Investment Compliance Support

• Oversee investment guideline monitoring and compliance reporting
• Assist with compliance reviews related to advisory activities and client portfolios
• Support compliance processes surrounding separately managed accounts and model portfolio programs

Qualifications

• Bachelor's degree required
• 3–5+ years of investment adviser, asset management, or financial services compliance experience
• Strong understanding of the Investment Advisers Act of 1940 and related SEC regulations
• Experience supporting or participating in regulatory examinations
• Familiarity with advisory products, managed accounts, and portfolio management environments