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Private Advisor Group · 1 month ago

Compliance Project and Operations Manager

Rock Hill, SC

Full-time

Hybrid

Senior Level

5+ years exp

Private Advisor Group is a SEC registered investment advisor (RIA) committed to providing excellent financial services to our clients, while maintaining the highest level of compliance with regulatory requirements. We are seeking an experienced, motivated and proactive Compliance Project & Operations Manager to join our Compliance Department, responsible for leading compliance service, managing departmental projects, and overseeing compliance initiatives to support the firm's compliance program.

AdviceConsultingFinancial Services

Responsibilities

Manage and coordinate compliance-related projects, including cross-departmental initiatives, regulatory deliverables, and internal process improvements

Track progress, communicate timelines, and escalate risks to ensure timely completion

Maintain comprehensive documentation of project milestones and outcomes

Serve as the day-to-day manager of the compliance service, overseeing service requests, issue resolution, and advisor communications

Follow up with advisors and business partners on overdue compliance items or escalations

Identify trends and propose process enhancements to improve service efficiency and effectiveness

Track, log, and escalate client complaints according to firm policies and regulatory guidelines

Develop and maintain executive-level reports and dashboards to monitor compliance activities, trends, and risks

Prepare materials for leadership updates, board meetings, and internal committees

Coordinate and track the Annual Compliance Questionnaire, including distribution, response monitoring, and resolution of follow-ups

Create PowerPoint presentations and supporting materials for internal compliance training, including firm-wide sessions and advisor-specific briefings

Maintain up-to-date compliance documentation on the company intranet, ensuring easy access to policies, procedures, disclosures, and training tools

Collaborate with internal stakeholders to ensure consistent and clear compliance messaging

Supervise and support one or more compliance staff members; provide coaching, direction, and task prioritization

Support administrative functions for the compliance department, including project coordination, file management, and preparation of compliance-related materials

Qualification

Investment adviser complianceBroker-dealer complianceProject managementCompliance technology platformsMicrosoft OfficeRegulatory knowledgePMP certificationSupervisory experienceCommunication skillsAttention to detail

Required

Bachelor's degree required; preferred fields include Business, Finance, Legal Studies, or a related discipline

5+ years of experience in a compliance or operations role within financial services

Demonstrated knowledge of both investment adviser and broker-dealer regulatory environments, including SEC and FINRA rules

Familiarity with key regulatory requirements such as the Investment Advisers Act of 1940, FINRA rules, Form ADV, marketing rule, books and records, suitability, and disclosures

Strong project management and organizational skills; PMP certification is a plus

Experience with compliance technology platforms and CRM systems

Advanced proficiency with Microsoft Office, particularly Excel and PowerPoint

Excellent communication skills—both written and verbal—with the ability to summarize complex issues for various audiences

High attention to detail, discretion, and professionalism

Ability to work independently while managing multiple priorities and deadlines