Regulatory Compliance Operations Lead

United States Digital Space LLC; United States; Hybrid; USD 73,000 - 110,000; Full time

Benefits offered by this job

Health insurance

Equity opportunities

401(k) matching

Meal programs

Flexible benefits

Job summary

RAM Asset Management seeks a Compliance Operations Specialist to support the investment advisory business with regulatory, documentation, and process improvements. You will coordinate with multiple teams to solve problems, ensure fiduciary standards, and enable a compliant launch.

The role requires strong communication, attention to detail, and the ability to work in a fast-paced, innovative environment across several teams. In-person presence is expected in multiple offices.

Qualifications

• 4–6 years of operational or compliance experience with an investment adviser.
• Familiarity with the SEC Investment Advisers Act and FINRA regulations.
• Demonstrated written, verbal, and presentation skills to communicate clearly.

Responsibilities

• Operationalize the regulatory framework for a new business activity.
• Serve as primary resource for customer service and business teams.
• Validate supervision controls and procedures for accuracy.
• Respond to complaints and client inquiries.
• Identify risk areas and propose actionable solutions.
• Build workflows to meet regulatory and record-keeping requirements.
• Foster professionalism, client advocacy, and regulatory guidance across teams.
• Collaborate with RAM teams to support compliance needs.

Skills

Operational/compliance experience

SEC Advisers Act knowledge

Communication skills

Organizational skills

Problem solving

Tools

None

Job description

RAM Asset Management seeks a Compliance Operations Specialist to support the investment advisory business with regulatory, documentation, and process improvements. You will coordinate with multiple teams to solve problems, ensure fiduciary standards, and enable a compliant launch.

The role requires strong communication, attention to detail, and the ability to work in a fast-paced, innovative environment across several teams. In-person presence is expected in multiple offices.