Manager, Regulatory and Compliance

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.

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.

• 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.

• 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

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

• 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

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…