Manager, Regulatory and Compliance

Stable Rock Solutions; New York (NY); Hybrid; USD 110,000 - 135,000; Full time

Job summary

Stable Rock is seeking a Manager, Regulatory & Compliance to deliver regulatory consulting services to investment advisers, registered investment companies, and private fund managers. You will oversee compliance monitoring programs and ensure adherence to federal and state securities regulations.

The role includes supervising Senior Associates, reviewing testing outputs, and assisting with regulatory filings; it requires a strong analytical mindset, excellent reporting, and client-facing

Qualifications

• Bachelor's degree in Finance, Accounting, Business Administration, Economics, or related field required.
• Professional certifications such as Juris Doctor (J.D.), Investment Adviser Certified Compliance Professional (IACCP) or FINRA licenses (Series 7, 24, 63, or 65) preferred.
• 4+ years of investment adviser compliance experience within a consulting firm, law firm, or registered investment adviser.
• Working knowledge of the Investment Advisers Act of 1940 and SEC regulatory requirements.
• Experience supporting compliance monitoring programs for registered investment advisers.
• Ability to review compliance testing outputs including personal trading monitoring, restricted list reviews, and surveillance activities.
• Strong analytical and problem-solving skills; strong written documentation and reporting skills.
• Ability to manage multiple tasks and deadlines in a consulting environment; effective client communication.

Responsibilities

• Manage day-to-day compliance monitoring activities across client engagements.
• Review outputs from compliance testing programs including personal trading monitoring, restricted list reviews, and trade surveillance.
• Assist clients with preparation of regulatory filings including Form ADV updates.
• Support annual compliance program reviews and risk assessments.
• Assist with mock regulatory examinations and regulatory readiness assessments.
• Supervise Senior Associates performing compliance monitoring and documentation.
• Assist with onboarding new compliance consulting clients.

Skills

Investment adviser compliance

Regulatory monitoring

Compliance testing

Analytical thinking

Documentation & reporting

Client communication

Multitasking in consulting

Education

Bachelor's degree in Finance/Accounting/Business Admin/Economics

JD or IACCP or FINRA licenses preferred

Tools

Microsoft Office

Claude or AI agents in compliance

Job description

Firm Overview

Stable Rock is an integrated professional services platform supporting over 500 clients including investment and asset managers, early-stage and midsize businesses, portfolio companies, and founders. We provide deep expertise across outsourced and fractional CFO services, accounting and bookkeeping, middle office and operations, regulatory and compliance, tax strategy and planning, IT, HR, insurance services, and AI-driven automation.

Our work is hands‑on and customized. Clients work directly with a team of experienced professionals who take the time to understand how their business or personal finances operate and provide practical support that adapts as needs change.

Job Opportunity And Responsibilities

Stable Rock is seeking a Manager, Regulatory & Compliance, to support delivery of regulatory consulting services to investment advisers, registered investment companies, and private fund managers.

Managers oversee the execution of compliance monitoring programs and assist clients in maintaining regulatory compliance with applicable federal and state securities regulations.

Managers also supervise Senior Associates responsible for compliance testing and operational monitoring.

Key Responsibilities

• Manage day-to-day compliance monitoring activities across client engagements.
• Review outputs from compliance testing programs including personal trading monitoring, restricted list reviews, and trade surveillance.
• Assist clients with preparation of regulatory filings including Form ADV updates.
• Support annual compliance program reviews and risk assessments.
• Assist with mock regulatory examinations and regulatory readiness assessments.
• Supervise Senior Associates performing compliance monitoring and documentation.
• Assist with onboarding new compliance consulting clients.

Qualifications, Skills, And Experience

• Education: Bachelor's degree in Finance, Accounting, Business Administration, Economics, or a related field required.
• Professional certifications such as Juris Doctor (J.D.), Investment Adviser Certified Compliance Professional (IACCP) or FINRA securities licenses (Series 7, 24, 63, or 65) preferred.
• Experience: 4+ years of investment adviser compliance experience within a consulting firm, law firm, or registered investment adviser.
• Skills:
  • Working knowledge of the Investment Advisers Act of 1940 and SEC regulatory requirements
  • Experience supporting compliance monitoring programs for registered investment advisers
  • Ability to review compliance testing outputs including personal trading monitoring, restricted list reviews, and surveillance activities
  • Strong analytical and problem-solving skills
  • Strong written documentation and reporting skills
  • Ability to manage multiple tasks and deadlines in a consulting environment
  • Effective communication skills for working with clients and internal teams

Software and Technology

Proficiency with Microsoft Office, experience using Claude or other AI agents in a compliance setting and ability to thrive in a tech-enabled environment

The Stable Rock Difference

• Direct access to founders, CCOs, and executive leadership at private fund managers, with true advisory influence rather than siloed task execution.
• Opportunity to serve as a strategic partner, and in select cases Outsourced CCO, with meaningful ownership over client relationships and regulatory outcomes.
• Broader exposure to complex engagements including mock SEC exams, registrations, risk assessments, and regulatory filings in a hands‑on environment.
• Ability to help design and enhance tech-enabled compliance solutions, shaping infrastructure in a growing, entrepreneurial firm.

Why Stable Rock

Stable Rock is built for professionals who want more than a traditional accounting or advisory role. We are focused on meaningful client impact, intellectual engagement, and practical problem solving in a collaborative, high-trust environment.

Our team operates with a service-first mindset, combining technical expertise with real-world business understanding. We value professionals who take initiative in managing and improving processes, pursue continuous learning, and working directly with clients to help them navigate operational and financial complexity.

If you are looking for a role where your work matters, your expertise is trusted, and your contributions help shape client outcomes, Stable Rock may be the right place to grow your career.

Location

We are open to exceptional talent nationwide, with a strong preference for candidates located in or near our core markets: Boston, New York, Dallas, Miami, Chicago, San Francisco, and Los Angeles. We offer hybrid work flexibility to support professional and personal balance.

Compensation

Competitive base salary ranging from $110,000 to $135,000, based on experience and location, with eligibility for a discretionary performance bonus.

Benefits

• Medical, Dental, and Vision insurance coverage. Employee-only premiums are paid at 100%.
• Health Savings Account (HSA) and Flexible Spending Account (FSA) options
• 401(k) retirement savings plan
• Unlimited paid time off policy

Inclusion

Stable Rock is an equal opportunity employer and we value diversity at our firm. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We encourage candidates from all backgrounds to apply and are committed to building a team that reflects many different perspectives and experiences.

Applicants in need of special assistance or accommodation during the interview process or in accessing our website may contact us. We will treat your request as confidentially as possible. In your email, please include your name and preferred method of contact, and we will respond as soon as possible.

Salary: $110000 - $135000 per year