Investment Adviser Compliance Manager

NorthRock Partners; Minneapolis (MN); On-site; USD 90,000 - 123,000; Full time

Benefits offered by this job

Company-funded ESOP

Comprehensive healthcare coverage

Tuition reimbursement

Generous Paid Time Off (PTO)

Job summary

A financial advisory firm in Minneapolis is seeking a Compliance Officer to manage their compliance program across advisory and private fund operations. The candidate should have 5–7 years of experience in compliance, a Bachelor's degree in finance or related field, and strong knowledge of SEC regulations. Responsibilities include overseeing regulatory filings, supporting SEC examinations, and ensuring effective compliance training. Benefits include comprehensive healthcare, a company-funded ESOP, and generous PTO.

Qualifications

• 5–7 years of progressive compliance experience within financial services, preferably an RIA or broker-dealer.
• Strong working knowledge of the Investment Advisers Act of 1940 and SEC regulations.
• Experience supporting retail advisory and private fund compliance programs.

Responsibilities

• Own and manage core components of the compliance program.
• Serve as a lead contributor for SEC examinations and internal reviews.
• Monitor regulatory developments and provide actionable guidance.

Skills

Attention to detail

Proactivity

Strong judgment

Project management

Communication

Stakeholder engagement

Education

Bachelor’s degree in finance, compliance, pre-law or related field

Tools

Microsoft Office Suite

CRM platforms (e.g., Salesforce)

Job description

• Detail-oriented: You bring precision and discipline to complex regulatory work
• Proactive: You anticipate regulatory risk and translate requirements into action
• Trusted partner: You’re known for sound judgment, discretion, and collaboration

The Role

We’re looking for a strategic, results-driven professional to join our Compliance team. In this role, you’ll oversee and advance NorthRock’s compliance program across advisory and private fund operations. The ideal candidate thrives in a highly regulated, fast-growing environment and is known for strong judgment and continuous improvement.

What You’ll Do

• Own and manage core components of the compliance program, including regulatory filings (Forms ADV, PF, 13F, 13H, N-PX), policies and procedures, testing, monitoring, and documentation
• Serve as a lead contributor for SEC examinations, mock audits, and internal reviews, including exam readiness and response coordination
• Monitor regulatory developments and translate requirements into actionable internal guidance
• Administer the Code of Ethics, including personal trading reviews, gifts and entertainment, outside business activities, and pre-clearance requests
• Design, execute, and document compliance testing across advisory, private fund, trading, billing, and operational activities
• Provide compliance guidance and risk-based recommendations to internal stakeholders, including support for acquisitions and new initiatives
• Oversee compliance training, including annual compliance meetings, onboarding, and ongoing education
• Support private fund compliance activities, including review of fund documents, disclosures, and audit deliverables
• Review and approve marketing materials, client communications, social media, and website content under the SEC Marketing Rule
• Maintain compliance calendars, risk assessments, dashboards, and tracking tools
• Drive continuous improvement by identifying process gaps and scalable solutions

What You Bring

• Bachelor’s degree in finance, compliance, pre-law, or a related field; or equivalent experience
• 5–7 years of progressive compliance experience within financial services, preferably an RIA or broker-dealer
• Relevant industry certifications such as CSCP®, IAACP, or Series 65 are preferred
• Strong working knowledge of the Investment Advisers Act of 1940 and SEC regulations
• Experience supporting retail advisory and private fund compliance programs
• Familiarity with private fund reporting and SEC Marketing Rule requirements
• Excellent project management, communication, and stakeholder engagement skills
• Proficiency with Microsoft Office Suite and CRM platforms (e.g., Salesforce)
• Must be authorized to work in the United States
• Successful completion of a credit and criminal background check is required

The estimated base salary range for this role is $90,000 – $123,000 per year. Base salaries are determined based on job-related knowledge, skills, experience, and geographical work location. Many roles are also eligible for variable pay such as bonuses, commissions, and/or long-term incentives.

Benefits Include a company-funded ESOP, strong retirement plans, tuition reimbursement, comprehensive healthcare/dental/vision coverage, and generous Paid Time Off (PTO).

About NorthRock Partners

At NorthRock Partners, we help people reach their potential through impactful advice. Our Personal Office® model integrates financial and lifestyle guidance tailored to each client’s unique goals.

We’re proud to be an equal opportunity employer and are committed to providing reasonable accommodation during the application process. Contact [e-mail] for assistance.