Senior Manager, Client Compliance Operations - RIA
Company:True Link Financial
Location:US
Languages:English
Seniority level:Senior, 7+ years
Experience:7+ years
Skills:
LeadershipProject ManagementPeople ManagementCross-functional Team LeadershipOperations ManagementDocumentationCommunication SkillsAnalytical SkillsCollaborationProblem SolvingCustomer serviceAttention to detailOrganizational skillsComplianceExcellent 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
