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Manager of Compliance and Operation

Retirement Plan Consulting Firm

in Pasadena CA

Manager of Compliance and Operations

Essential Job Duties & Responsibilities:

  • Manage and maintain all firm books and records;
  • Provide direction and guidance on investment advisory compliance issues;
  • Maintain Form ADV Parts 1 and 2, prepare annual amendment and interim ADV updates, and manage delivery tracking of disclosure documents;
  • Update and test Policies and Procedures, Code of Ethics and overall compliance program. Identify, assess and effectively communicate new or changing regulatory issues and market trends;
  • Train staff and management on regulatory compliance matters to enhance understanding and awareness throughout the organization;
  • Maintain systemic records of the Firm’s compliance program in the event of an outside audit and/or regulatory examination;
  • Review all marketing materials;
  • Ensure overall office operations running smoothly;
  • Build, maintain, and manage office database, electronic files, paper files, and CRM systems;
  • Ensure office team is aware of important deadlines, projects, and ensure staff is generally operating at a high level of efficiency;
  • Lead other projects as requested.

Minimum Qualifications

  • Minimum of 5 years experience in RIA Compliance at least 1 of which incudes people management;
  • Working knowledge of the Advisers Act, SEC rules and regulations, and no-action letter guidance for RIAs, as well as familiarity with FINRA, Department of Insurance, and Department of Labor regulations;
  • Experience managing office administration (including IT, facilities management, scheduling, office communications, etc.);
  • Ability to operate with minimal supervision if the circumstances dictate along with the ability to keep Senior Management informed of your projects and workload;
  • Self-starter able to tackle projects and duties with limited direction;
  • Series 65 or 66 required;
  • Knowledge and familiarity with Microsoft Office products especially Excel.

Preferred Qualifications

  • Experience with qualified retirement plans;
  • Experience working within the non-profit and municipal government space;
  • Bachelor’s degree from an accredited 4 year college or university;
  • Experience managing an SEC compliance audit;
  • Experience with database management;
  • Familiarity with Smarsh, Charles Schwab, LPL, RPAG, fi360.

How to Apply

To apply please send resume to

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