Compliance and Office Manager
15 days ago
Las Vegas
Compliance Manager & Operations Coordinator Confidential Financial Services Firm Full-Time | In-Office Position Summary A growing financial services firm is seeking a highly organized, detail‑driven Compliance Manager & Operations Coordinator to support and strengthen its regulatory compliance program as the organization transitions to and operates as a Registered Investment Advisor (RIA). This role is ideal for someone who thrives in a regulated environment, enjoys building process‑driven systems, and can balance compliance oversight with executive support and office operations. The position’s responsibilities fall into three core areas, in order of priority: • Compliance Management & Regulatory Support, • Executive Assistant Support to Senior Leadership Key Responsibilities 1. Compliance Management & Regulatory Oversight (Primary Focus) Support the firm’s compliance program and ensure adherence to regulatory requirements applicable to a Registered Investment Advisor. Responsibilities include: • Assist in implementing, maintaining, and monitoring compliance policies and procedures, • “Assist in the implementation, maintenance, and oversight of the firm’s compliance policies and procedures”, • Maintain compliance records in accordance with SEC and regulatory requirements, • “Maintain compliance records in accordance with SEC and regulatory recordkeeping requirements”, • Support preparation and maintenance of regulatory filings, including Form ADV updates, • Track compliance calendars and ensure timely completion of required filings, • Prepare documentation for regulatory audits, examinations, and internal reviews, • Maintain logs for training, attestations, certifications, and employee disclosures, • Assist with annual compliance reviews and testing procedures, • Track employee licensing, registrations, and continuing education, • Review and organize regulatory documentation and internal compliance files, • Support compliance monitoring related to marketing materials and communications, • Coordinate compliance‑related meetings and maintain activity records, • Partner with leadership and consultants on compliance initiatives and process improvements, • Help promote a culture of compliance and operational discipline across the firm 2. Executive Assistant Support (Secondary Responsibility) Provide high‑level administrative support to senior leadership. Responsibilities include: • Manage executive calendars, scheduling, and meeting coordination, • Prepare agendas, presentations, reports, and internal documents, • Coordinate travel arrangements and itineraries, • Assist with email management, follow‑ups, and task tracking, • Support client meeting logistics and preparation, • Serve as a liaison between leadership and internal/external stakeholders, • Handle confidential information with discretion and professionalism 3. Office Management & Administrative Operations (Third Priority) Ensure smooth day‑to‑day office operations and a professional work environment. Responsibilities include: • Manage office supplies, vendors, and service providers (IT, facilities, etc.), • Maintain document management and internal filing systems, • Support onboarding and offboarding logistics, • Coordinate internal meetings, office events, and team logistics, • Serve as the point of contact for office operations and administrative needs, • Maintain organized workflows and administrative processes Qualifications & Experience • 5+ years of experience in financial services, compliance, operations, or executive support, • Experience in a regulated environment strongly preferred (RIA, broker‑dealer, wealth management, banking, insurance), • Familiarity with compliance processes, regulatory documentation, and audit preparation, • Exceptional attention to detail and ability to follow procedures precisely, • Strong organizational and time‑management skills, • Excellent written and verbal communication skills, • High level of discretion handling confidential information, • Proficiency with Microsoft Office; experience with compliance or document management tools preferred Preferred Experience • Experience supporting RIA compliance programs, • Familiarity with SEC regulatory requirements, • Experience coordinating compliance documentation, filings, or internal audits, • Ability to build and maintain process‑driven systems and workflows Core Competencies • Strong regulatory mindset and attention to detail, • Process‑oriented and highly organized, • High integrity and discretion, • Proactive, solutions‑oriented, and accountable, • Able to manage multiple responsibilities and deadlines, • Professional presence and strong interpersonal skills Work Environment • In‑office role within a professional financial services environment, • Requires handling sensitive financial and compliance‑related information, • Occasional early or late hours may be needed to support executive schedules or compliance deadlines Compensation & Benefits • Base Salary: $75,000–$85,000 DOE, • Bonus: 10–20% performance‑based, • Benefits: Health benefits, PTO and paid holidays, 401(k) plan