Operations Compliance Manager

Our client is looking for an experienced Operations & Compliance Manager to join a growing independent wealth management firm. This is a hands‑on leadership role responsible for overseeing operational processes, client onboarding, compliance initiatives, and team management while helping drive efficiency and regulatory excellence across the organization.

The ideal candidate combines strong operational expertise with a deep understanding of SEC compliance requirements and enjoys working in a collaborative, fast‑paced environment

• Lead and support day‑to‑day operations while managing and developing a small team.
• Oversee client onboarding, account maintenance, and operational workflows.
• Ensure adherence to SEC regulations, compliance policies, KYC, AML, and internal controls.
• Partner with leadership to support compliance reviews, regulatory filings, audits, and employee training initiatives.
• Drive process improvements, operational efficiencies, and technology enhancements, including CRM optimization.
• Collaborate across investment, advisory, and client service teams to ensure a seamless client experience.
• Monitor operational performance and implement best practices to support continued growth.

• 6+ years of operations and/or compliance experience within financial services.
• Strong knowledge of SEC regulations, compliance programs, and regulatory requirements.
• Proven leadership experience with the ability to balance strategic oversight and hands‑on execution.
• Experience with CRM platforms, portfolio management systems, and compliance technology tools.
• Excellent analytical, organizational, and communication skills.
• Bachelor's degree required; advanced degree or industry certifications are a plus.

• High‑impact leadership role with visibility across the organization.
• Opportunity to shape operational processes and compliance programs during a period of growth.
• Collaborative culture focused on client service, integrity, and continuous improvement.