SCS · 1 day ago
Operations and Compliance Manager
Bellevue, WA
Full-time
Onsite
Mid, Senior Level
$95K/yr - $120K/yr
5+ years expSCS is dedicated to building enduring relationships with clients through high-quality guidance. The Operations and Compliance Manager will enhance operational excellence and regulatory integrity while collaborating with senior leadership to streamline processes and execute strategic initiatives.
Financial Services
No H1B
Responsibilities
Partner with leadership to design, implement, and measure operational strategies aligned with SCS’s growth and client experience objectives
Manage key projects across departments ensuring milestones, dependencies, and deliverables are met
Develop and monitor Key Performance Indicators (KPIs) for departmental and firmwide reporting; help leaders interpret data and drive accountability
Lead process-improvement initiatives that enhance efficiency, accuracy, and scalability
Support vendor due diligence, contract management, and renewal tracking to optimize cost, performance, and compliance
Analyze business metrics, identify insights, and recommend actionable solutions for leadership decisions
Collaborate cross-functionally with Advisory, Client Service, Investment, HR, and Operations teams to ensure alignment of workflows and systems
Oversee the firm’s operational footprint and offices
Support and execute new employees and advisor onboarding
Assist with technology enablement (CRM, workflow automation, reporting dashboards) to support efficiency and compliance oversight
Administer and monitor the firm’s Code of Ethics, including personal trading, outside business activities, gifts and entertainment, and attestations
Support, Maintain and update the restricted list, coordinate trading blackouts, and support oversight of investment activities
Partner with the CCO to ensure policies and procedures reflect current SEC regulations and best practices under the Marketing Rule
Prepare, review, and submit regulatory filings (ADV Parts 1 and 2, Form CRS, 13F, and 13H)
Conduct and document compliance testing and assist with annual reviews
Serve as a firmwide compliance resource, providing guidance, training, and clarity across teams
Create and present materials for compliance meetings and continuing education sessions
Support the CCO with regulatory change management and examinations, tracking updates and implementing required adjustments
Qualification
Required
Applicants must be authorized to work for ANY employer in the U.S. We are unable to sponsor or take over sponsorship of an employment Visa currently
Strong understanding of SEC regulatory framework and RIA compliance requirements
Experience with CRM, portfolio accounting, HR payroll/benefits, and compliance software (e.g., Salesforce, Orion, Addepar, Smartria, Comply, Gusto, etc.)
Proven ability to manage complex projects, analyze data, and present clear insights into leadership
Excellent interpersonal skills; able to influence without direct authority
Detail-oriented with the ability to balance day-to-day execution and long-term planning
Bachelor's degree required
Preferred
Bachelor's Degree in a related area preferred
advanced degree or compliance certification (e.g., IACCP) preferred
5-7 years of experience in RIA operations or compliance, ideally in a multi-advisor, multi-office environment
Company
SCS
At SCS, we develop enduring relationships with our clients by providing high quality guidance.
11-50 employees
Funding
Current Stage
Early StageLeadership Team
Griffin Smith
Financial Advisor and Partner
Jeff Hensler
Senior Financial Consultant and Partner
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