Senior Manager, Client Compliance Operations

Posted about 2 hours agoViewed

USFull-TimeFintech

Company:True Link Financial

Location:US

Languages:English

Seniority level:Senior, 7+ years

Experience:7+ years

Skills:

LeadershipProject ManagementPeople ManagementCross-functional Team LeadershipOperations ManagementCommunication SkillsAnalytical SkillsCollaborationProblem SolvingCustomer serviceAttention to detailOrganizational skillsDocumentationComplianceExcellent communication skillsAccount ManagementTeamworkClient relationship managementRisk ManagementProcess improvement

Requirements:

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 Experience with custodial account opening Experience with advisory documentation workflows Strong communicator Comfortable managing documentation and records

Responsibilities:

Lead and scale critical compliance processes Manage investment agreement workflows Maintain audit-ready records Communicate with clients about compliance Refine advisory fee calculation processes Support audits and regulatory exams Partner cross-functionally to identify risks