Job Overview – Compliance Manager (HR Support):
Join our client in Greenwich, CT, as a Compliance Manager (HR Support) in a hybrid capacity. This role is ideal for a compliance professional with expertise in investment advisory regulations and HR processes. You will oversee compliance operations, regulatory filings, employee policies, and HR compliance, ensuring alignment with SEC, AML, FINRA, and privacy regulations. Collaborate with leadership to manage audits, staff compliance, and HR-related functions while maintaining confidentiality and process integrity.
Compensation: $150,000 – $200,000/year base ($225,000 – $250,000 All-In)
Location: Greenwich, CT
Schedule: Monday to Friday (Hybrid)
Responsibilities as the Compliance Manager (HR Support):
- Regulatory Compliance Oversight: Ensure adherence to SEC, AML, FINRA, and privacy regulations, maintaining compliance records and filings (e.g., Form ADV, compliance reports).
- Policy Implementation & Monitoring: Oversee firm-wide compliance with internal policies, ethical standards, and regulatory reporting using ComplySci.
- Risk Management & Auditing: Assist with internal compliance audits, risk assessments, and investment activity monitoring to ensure regulatory alignment.
- Employee Compliance & Onboarding: Manage compliance for new hires and offboarding processes, ensuring adherence to firm policies and agreements.
- HR Compliance & Record Management: Maintain employee files, term sheets, and agreements while ensuring legal and policy compliance.
- Payroll & Benefits Coordination: Work with external PEO providers to ensure accurate payroll processing and benefits administration, including health and retirement plans.
Qualifications for the Compliance Manager (HR Support):
- Education: Bachelor’s degree in Business, Finance, Law, or a related field required.
- Experience: 5-8 years of compliance experience within an investment advisory or regulatory environment.
- Regulatory Expertise: Strong knowledge of SEC, AML, FINRA, and privacy regulations, with experience executing RIA compliance programs.
- HR & Compliance Skills: Ability to manage employee compliance, policy adherence, and HR-related regulatory requirements.
- Technical Proficiency: Experience with compliance software (e.g., ComplySci) and familiarity with HR systems and payroll processes.
- Attributes: Professional, solutions-oriented, and able to maintain strict confidentiality while working collaboratively with leadership.
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.