Compliance Manager, IT​/Tech

Right Capital is an innovative financial tech startup providing cutting-edge holistic financial planning software. We were recently voted by The Daily Finance as one of Connecticut's Best Fintech companies! We started as a group of entrepreneurs working from a garage in Connecticut to now having the 3rd largest financial planning technology company in the US. We have seen tremendous growth within this space, and have our eyes squarely set on growing this company to the next level as we help financial advisors add value to their clients!

Right Capital is seeking an experienced Compliance Manager to lead both advisor-facing regulatory compliance and platform security compliance across our SaaS wealth-tech offering. This role sits at a pivotal intersection: you'll need to operate confidently in the established SaaS platform world of SOC 2, privacy, vendor risk, and financial-services regulatory considerations, while also helping steer the emerging, AI-enabled future we are building toward.

You will orchestrate our SOC 2 Type II audit, serve as the primary point of contact for customer trust and vendor risk activities, and an embedded advisor to Product, Marketing, Sales, and Customer Experience on regulatory and privacy matters. You'll partner with engineering and IT, who own the technical controls, by coordinating evidence, surfacing gaps, and pushing for new controls when business or regulatory needs demand them.

As AI becomes an increasingly meaningful part of what we deliver, you'll also help shape Right Capital's approach to emerging AI assurance and governance frameworks, including ISO/IEC 42001, the NIST AI Risk Management Framework, and evolving regulatory guidance from the SEC, FINRA, and state regulators, to position the company ahead of customer and regulator expectations.

This role sits on our Operations team, reporting to the VP, Operations, as part of our combined Legal & Compliance function. Our mission is to enable Right Capital's growth through robust regulatory oversight, disciplined data stewardship, and a credible security and privacy posture. We protect the company, our advisor customers, and the end-clients whose data flows through our platform by anticipating regulatory change, validating that internal controls operate as designed, and serving as a trusted advisor to every team.

You will set the bar for how Right Capital demonstrates trust to advisors, enterprise customers, regulators, and auditors by translating complex regulatory, privacy, and security requirements into practical guidance the business can act on, and ensuring our SOC reports and customer assurance posture keep pace with our growth.

· Understand how financial services regulations affect our advisor and RIA customer base and our platform, including FINRA, SEC, and Investment Adviser Act considerations as they intersect with the features and communications we deliver

· Partner with Product and Marketing teams as an embedded compliance consultant to review product enhancement proposals, feature releases, and public-facing statements for regulatory adherence and risk exposure

· Develop and maintain compliance guidelines and frameworks for Product and Marketing teams to ensure platform features, promotional materials, and customer communications meet necessary regulatory standards and industry requirements

· Develop and maintain a regulatory horizon-scanning process to monitor changes in FINRA, SEC, state privacy laws, and other relevant frameworks; translate impact into actionable guidance for the business

· Serve as a key operator and enforcer of Right Capital's privacy program, keeping day-to-day practices aligned with the privacy policy and applicable regulations, and driving the internal data inventory / data map, DSAR (data subject access request) intake and fulfillment, and privacy impact assessments for new features

· Enforce privacy requirements across teams, holding data-handling practices accountable to documented policy and escalating exceptions and risks as needed

· Engage with internal stakeholders including business units, information security, and product teams to assess transaction-specific risks,…