True Link · 1 month ago
Senior Manager, Client Compliance Operations - RIA
United States
Full-time
Remote
Senior Level
7+ years expTrue Link Financial is a mission-driven fintech company providing financial solutions for individuals with complex needs. The Senior Manager, Client Compliance Operations - RIA will lead the development of scalable compliance processes in the investment advisory business, ensuring accuracy and efficiency in account maintenance and documentation.
BankingElderlyFinancial Services
Responsibilities
Lead and scale critical compliance processes as we grow, to ensure efficiency and accuracy on all account maintenance and documentation
Manage end-to-end investment agreement workflows, including new client agreements, re-executions, annual audits, and proper filing of executed contracts
Maintain audit-ready records and organize documents, agreements, and disclosures
Communicate directly with clients to explain compliance activities and requirements
Collaborate with our operations teams to refine advisory fee calculation processes and provide ongoing quality assurance
Proactively support audits, regulatory exams, and compliance communications
Partner cross-functionally to identify risks, strengthen our systems, and document best practices
Qualification
Required
7+ years experience in compliance, investment advisory operations, or financial services operations
Experience scaling compliance at a small, growing financial services or fintech company
Familiarity with registered investment advisor (RIA) requirements, custodial account opening, and advisory documentation workflows
Extremely organized, detail-oriented, and comfortable owning repeatable processes with precision
Comfortable with suggesting and implementing process improvements
Able to navigate complexity and bring structure, clarity, and consistency to operational systems
Strong communicator who can partner closely with internal teams such as client services, compliance, and operations, and with external partners
Comfortable managing documentation, records, and access controls across systems; experience with exams or audits is a plus
Benefits
Competitive wages
Health, dental & vision coverage
Paid parental leave
12 paid holidays
Your own professional development budget
An awesome vacation package
Company
True Link
Vulnerable seniors, people with special needs, and those recovering from addiction – fifty million Americans in total – need more from their financial institutions.
51-200 employees
Funding
Current Stage
Growth StageTotal Funding
$68.35MKey Investors
Initialized CapitalQED InvestorsCambia Health Solutions
2020-07-28Series B· $35M
2019-09-04Series Unknown· $2.15M
2018-12-20Series B· $16M
Leadership Team
Kai Stinchcombe
Founder / CEO
Claire McDonnell
Co-founder & Board Member
Recent News
Morningstar.com
2025-12-11
FF News | Fintech Finance
2025-03-01
Company data provided by crunchbase