Senior Compliance Operations Manager

Job not on LinkedIn

🔥 1 hour ago

🇺🇸 United States – Remote

💵 $130k - $150k / year

⏰ Full Time

🟠 Senior

⚙️ Operations

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Wealth Enhancement Group

WebsiteLinkedInAll Job Openings

501 - 1000 employees

Founded 1997

💸 Finance

🛡️ Insurance

💰 $736.3k Funding Round on 2022-02

Finance • Insurance

Wealth Enhancement Group is a financial services firm founded in 1997, dedicated to providing clients with comprehensive financial guidance. The firm focuses on reducing the stress of managing various aspects of clients’ financial lives by integrating services such as financial planning, investment management, tax strategies, risk management, insurance, estate planning, and retirement income planning. Utilizing a team approach, known as the Roundtable™, and a structured process called UniFi™, Wealth Enhancement Group aims to empower clients in making confident and informed financial decisions.

📋 Description

• Lead and coordinate Compliance Operations programs, projects, and recurring obligations, establishing clear ownership, deliverables, deadlines, and escalation points • Manage assigned personnel, including establishing priorities and expectations, allocating work, providing coaching and feedback, and supporting employee development • Develop and maintain project plans and tracking mechanisms for complex compliance initiatives involving multiple stakeholders, dependencies, and deadlines, and drive assigned initiatives through implementation and completion • Maintain visibility into active projects, recurring requirements, outstanding commitments, risks, and required follow-up, and provide clear status reporting to management • Identify delays, resource constraints, control gaps, and emerging risks and coordinate appropriate follow-up or escalation • Develop practical reporting and metrics to support prioritization, capacity management, and oversight of Compliance Operations activities • Support the continued development and adoption of the firm's regulatory compliance GRC and workflow capabilities • Translate compliance requirements and operational processes into structured workflows with defined ownership, deadlines, approvals, documentation requirements, and escalation paths • Leverage GRC and workflow technology to improve management of compliance obligations, projects, issues and remediation, testing, examinations, and other Compliance activities • Develop reporting and identify opportunities to improve or automate manual processes, increase visibility, and reduce reliance on spreadsheets, email follow-up, and individual knowledge • Support the firm’s compliance policy and procedure governance process, including ownership, review schedules, approvals, publication, version control, and periodic updates • Coordinate with Compliance subject-matter experts and business owners to develop and maintain policies, written supervisory procedures, desktop procedures, and related guidance • Maintain visibility into required policy and procedure reviews and coordinate updates resulting from regulatory developments, organizational changes, examination or testing findings, and changes in business practices • Promote consistent documentation and help identify gaps between documented procedures and actual operating practices • Provide operational and project-management support for regulatory examinations, compliance testing, remediation, regulatory change, training, attestations, and other Compliance initiatives • Depending on organizational needs and the selected candidate’s experience, manage or support additional Compliance programs or personnel • Perform other related duties as assigned • Drive service improvement through AI and digital tools, creating and maintaining knowledge content, and driving improvements based on data and feedback

🎯 Requirements

• Bachelor's degree • Series 7, 24, and 65, or ability to obtain within 12 months of hire • Seven or more years of relevant experience in compliance, regulatory operations, or risk management in financial services or related field • Demonstrated experience managing complex projects, programs, or operational processes involving multiple stakeholders and competing deadlines • Strong project-management, organizational, prioritization, and follow-through skills • Experience managing employees or providing significant team or program leadership • Experience developing or improving compliance processes, procedures, controls, or workflows • Ability to manage numerous concurrent priorities in a fast-paced environment while maintaining visibility into deadlines and commitments • Strong written and verbal communication and cross-functional stakeholder-management skills • Experience implementing, administering, or materially improving a GRC or compliance workflow platform, such as LogicGate Risk Cloud, MyComplianceOffice, or a comparable platform • Experience developing compliance workflows, operational metrics, dashboards, or management reporting • Working knowledge of the broker-dealer and/or investment-adviser regulatory environment, particularly licensing and registration requirements and related broker-dealer and investment adviser registration processes • Proficient at using Ai and digital tool, creating and maintaining knowledge content and driving improvements based on data and feedback

🏖️ Benefits

• Training and professional development • Medical, dental and vision coverage (Available to full-time employees and their families) • Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA) for medical, dependent, and transit expenses • Life and AD&D insurance – employer paid and voluntary options • Short-term and long-term disability, workers compensation – employer paid • 401k with match and profit sharing • Wellness programs and resources • Voluntary benefits, including pet insurance • 18 days of paid time off (PTO), accrued annually (25 PTO days after 4 years of service) • 12 paid holidays each year (10 pre-determined and 2 floating days) • Paid parental leave and paid caregiver leave (Caregiver leave available after 6 months of tenure) • Reimbursement for tuition, licensing, and other credentials (Available after meeting service requirements)

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