Senior Compliance Manager

Senior Compliance Manager, Austin, TX

Leonid Group is excited to partner with a leading investment management and advisory firm based in central Austin, TX, to help them find a Senior Compliance Manager. This is an excellent opportunity to join a growing and dynamic firm that is at the forefront of empowering independent financial professionals. You will be part of a team that is shaping the future of investment advisory services while maintaining strong compliance standards across the organization.

Our client is renowned for providing an exceptional investment advisory platform that enables independent financial professionals to thrive. Their integrated technology, paired with personalized consulting services, supports financial advisors in delivering comprehensive securities and investment advisory services to their clients.

The Role

As the Senior Compliance Manager, you will report to the Head of Compliance, US, and play a pivotal role in managing the US compliance programs. You will also collaborate closely with global partner teams to help manage regulatory policy across all regions. You will be an integral part of the compliance function, working on diverse aspects of the business, including licensing and registrations, advertising, branch examinations, anti-money laundering, and surveillance.

Key responsibilities will include:

• Leadership and Management: Oversee and mentor a Compliance Officer, providing guidance and support while managing four distinct compliance teams.
• Compliance Oversight: Lead the identification and management of compliance risks, offering expert advice to functional areas of the firm to ensure appropriate actions and strategies are taken.
• Policy and Risk Management: Further develop, recommend, and administer risk management policies and systems for areas such as Licensing and Registrations, Advertising, Branch Examinations, Anti-Money Laundering, and Surveillance. Ensure the firm operates within the parameters of its strategic risk appetite.
• Risk Reduction: Collaborate with peers to minimize the organization’s total risk exposure, with a focus on regulatory, investment product, and operational risks.
• Service Standards and Compliance: Ensure adherence to the firm’s service standards and regulatory requirements.
• Cross-Departmental Collaboration: Act as a compliance resource for management, producers, and other departments, providing guidance and supporting their needs as they arise.
• Team Development and Culture: Foster a positive, results-driven team culture by emphasizing teamwork, accountability, professionalism, and ongoing development.
• Project Management: Take on additional projects and tasks as assigned, ensuring timely and effective completion.

The Candidate

The ideal candidate will have:

• 5+ years of relevant compliance experience in the financial services industry or equivalent regulatory experience.
• A strong focus on risk reduction across the enterprise, including regulatory, investment product, and operational risks.
• Deep knowledge of FINRA rules and SEC regulations governing retail broker-dealers and registered investment advisers.
• Series 7 and Series 24 certifications required.
• Extensive knowledge of FINRA and SEC rules and regulations, with the ability to apply them effectively to the business.
• The ability to coordinate multiple projects and deliver results in a timely and accurate manner.
• Strong analytical skills, with a general understanding of risk management practices and the ability to assess and manage complex risk scenarios.
• Proven ability to leverage technology to implement compliance policies and educate managers on responsibilities and progress.
• Supervisory or management experience in leading multiple personnel and guiding them towards professional growth.
• Strong leadership capabilities, including the ability to develop talent, show resilience, learn from mistakes, and complement strengths and weaknesses within a team.
• Excellent communication skills with a passion for continuous learning and development.

Why Join Us?

This is an exciting opportunity to join a dynamic, forward-thinking organization that offers a collaborative and supportive environment. As the Senior Compliance Manager, you will have the chance to make a direct impact on the firm’s compliance culture, work with a talented team, and contribute to the growth of a respected investment advisory firm. You’ll be part of a company that values its people and fosters continuous learning and development.

If you're ready to take on a leadership role and play a key part in shaping the future of compliance within a thriving organization, we would love to hear from you! Apply today and take the next step in your career.