Compliance Manager, Finance & Banking

Essential Duties and Responsibilities

• Manage and oversee assigned compliance programs across the firm's Broker-Dealer and Registered Investment Adviser operations.
• Develop, implement, and maintain supervisory, monitoring, and testing procedures designed to identify regulatory risks.
• Conduct periodic reviews of policies, procedures, and controls to ensure alignment with SEC, FINRA, state, and firm requirements.
• Monitor regulatory developments and evaluate the operational impact of new rules, guidance, and enforcement trends.

• Oversee execution of daily, monthly, quarterly, and annual surveillance activities.
• Review and analyze surveillance findings, exception reports, and compliance alerts.
• Design and execute risk‑based testing and monitoring programs.
• Identify compliance deficiencies, determine root causes, and recommend corrective action plans.
• Track remediation efforts and verify completion of corrective actions.
• Regulatory Examinations and Audits
• Serve as a primary coordinator for SEC, FINRA, state regulatory examinations, and internal audits.
• Manage regulatory requests, document production, and examination logistics.
• Draft examination responses, deficiency analyses, and remediation plans.
• Maintain examination‑ready documentation, evidence repositories, and compliance records.
• Assist in annual compliance reviews and risk assessments.

• Serve as a compliance resource for advisors, principals, operations personnel, and leadership.
• Provide guidance regarding registrations, disclosures, outside business activities, private securities transactions, communications, advertising, and other regulatory matters.
• Assist business units in developing compliant operational processes and controls.
• Escalate significant compliance concerns to senior management and the CCO as appropriate.

• Provide oversight, coaching, and quality review for Compliance Coordinators and other junior compliance personnel.
• Delegate and prioritize departmental responsibilities while maintaining service levels and regulatory deadlines.

• Deliver compliance training to employees, registered representatives, and investment adviser personnel.
• Support annual compliance meetings and continuing education initiatives.
• Develop educational materials and guidance related to regulatory requirements and firm policies.

• 5+ years of experience in financial services compliance, regulatory supervision, or risk management.
• Experience supporting Broker-Dealer and SEC-registered Investment Adviser compliance programs.
• Working knowledge of SEC, FINRA, and state regulatory requirements.
• Experience managing audits, examinations, and regulatory inquiries.
• Demonstrated ability to analyze regulatory risk and recommend practical business solutions.
• Bachelor's degree or equivalent industry experience.

• SIE
• Series 7
• Series 24
• Series 65 or Series 66

The firm will support additional licensing and registration requirements as necessary.

Rothschild Wealth Partners offers a competitive total rewards package designed to support your professional and personal well‑being. The base salary range for this position is $120,000 – $140,000
, commensurate with experience, plus eligibility for an annual performance bonus
.

Additional benefits include:

• Flexible time off
• Summer hours on Fridays
• Market holidays observed

Rothschild Wealth Partners is an equal opportunity employer. Final compensation will be determined based on the candidate's experience, qualifications, and skills.