Mgr, Compliance - LIC

We are looking for a compliance-focused project leader to support key initiatives for a financial services firm in Minneapolis, MN. This Long-term Contract position will guide advisor-facing and member-facing programs by coordinating projects, strengthening review processes, and helping teams deliver compliant educational and promotional content. The role is well suited for someone who brings financial services experience, sound judgment in regulated environments, and the ability to turn complex requirements into practical, scalable solutions.

Responsibilities:

• Direct cross-functional initiatives from early planning through launch, keeping timelines, priorities, and stakeholder expectations aligned.

• Coordinate operational and compliance activities for financial education and membership programs that support both advisors and members.

• Manage project plans, gather business needs, track risks, and provide clear status updates and recommendations to leadership.

• Work with internal partners and external vendors to implement tools, process enhancements, and program improvements that increase efficiency and scale.

• Oversee review and approval routing for promotional, educational, and presentation materials to help ensure adherence to regulatory standards and internal policies.

• Apply compliance and regulatory guidance to consumer-facing and advisor-facing content in collaboration with legal, marketing, and business teams.

• Identify opportunities to streamline workflows, reduce manual effort, and improve consistency across compliance-related programs and operations.

• Contribute to the evaluation and use of technology, including AI-enabled solutions, content platforms, marketing tools, and compliance workflow systems with appropriate oversight.

• Lead stakeholder meetings, drive follow-through on deliverables, and communicate progress, issues, and key decisions across business partners.

• Bachelor’s degree or equivalent combination of relevant experience and industry knowledge.

• At least five years of experience leading strategic projects, business operations initiatives, compliance programs, or similar work.

• Active Series 7 and Series 63/65 or 66, along with Series 24 licensure, are required.

• Prior experience within financial services, such as brokerage, broker-dealer, investment advisory, or a comparable regulated environment.

• Strong project management skills with the ability to organize work, manage competing priorities, and keep initiatives moving forward.

• Working knowledge of compliance review practices for marketing, educational, or advisor communications.

• Effective communication and collaboration skills, with experience partnering across compliance, legal, marketing, operations, and leadership teams.

• Demonstrated ability to improve processes and support scalable solutions in a regulated business setting.

Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.

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