Strategic Compliance Lead - Investment Advisers

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

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.