Compliance Manager — Broker-Dealer & SEC Compliance

Rothschild Wealth Partners; Oak Brook (IL); On-site; USD 90,000 - 120,000; Full time

Benefits offered by this job

Comprehensive benefits package

Culture of continuous learning

Job summary

A boutique financial firm is seeking a Compliance Manager to support compliance programs focused on advisor licensing and registration. The role requires 2-5+ years in broker-dealer or securities compliance and involves responsibilities like onboarding, audits, and managing compliance systems. Ideal candidates will hold FINRA Series 24 and have strong documentation skills. A comprehensive benefits package is offered, reflecting the firm's dedication to employee well-being and growth.

Qualifications

• 2-5+ years in broker-dealer and/or securities compliance.
• Experience working within multiple entities with overlapping regulators.

Responsibilities

• 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.

Skills

FINRA licenses: Series 24

Experience with compliance-related systems and processes

Strong documentation skills supporting audit-ready records

Ability to coordinate across compliance, operations, and legal stakeholders

Job description

A boutique financial firm is seeking a Compliance Manager to support compliance programs focused on advisor licensing and registration. The role requires 2-5+ years in broker-dealer or securities compliance and involves responsibilities like onboarding, audits, and managing compliance systems. Ideal candidates will hold FINRA Series 24 and have strong documentation skills. A comprehensive benefits package is offered, reflecting the firm's dedication to employee well-being and growth.