Mgr, Compliance - LIC

For our client, we are seeking a Mgr, Compliance - LIC to join the team of a leader in the Finance & Insurance space.

This role will oversee compliance operations and support the effectiveness of the organization's regulatory oversight for investment advisory activities. The manager will partner closely with business leaders, compliance colleagues, and advisory teams to identify issues, strengthen controls, and support a culture of risk awareness. The position also plays a key role in incident response, regulatory review activities, and the ongoing maintenance of a compliant business environment.

Location: Remote - US based candidates only, no visa sponsorship available

Compensation: $114,731 – $155,224 annually

Responsibilities

• Supervise and lead compliance business objectives and team performance
• Conduct in-depth analysis and resolve complex compliance issues
• Assist in the annual compliance review under SEC Rule 206(4)-7
• Manage incident responses and coordinate with relevant departments
• Consult with business and compliance teams to fulfill program requirements
• Proactively evaluate business practices and provide training to manage risk
• Lead multiple projects in a fast-paced environment with minimal supervision

Qualifications

• Series 65 or 66, or ability to acquire within 90 days; relevant professional designation preferred
• Bachelor's degree in business or a related field; advanced degree or professional licenses preferred
• 5+ years of experience in financial services, insurance, or investment management
• Extensive knowledge of Registered Investment Advisor regulations
• Experience consulting with financial advisory practices at all levels
• Previous regulatory/compliance experience essential

Benefits

• Various bonuses, including annual or long-term incentives
• Medical, dental, and vision insurance
• 401k and pension plans
• 20 days of Paid Time Off each year
• Paid parental leave and Volunteer Time Off

Our client is an equal opportunity employer. We encourage you to apply even if you don’t meet every qualification—your background could be exactly what this team needs.