Senior Compliance Manager
Hybrid · Ohio, United States
Job Summary
Senior Compliance Manager responsible for ensuring the firm adheres to financial industry laws and regulations, providing compliance advice, monitoring and oversight across initiatives. Role is remote with occasional in-person commitments at HQ in Ohio. Key duties include defining and refining multi-year strategy, mentoring fiduciary team members, developing fiduciary goals, serving as internal expert for complex fiduciary solutions, promoting leadership within the fiduciary team, overseeing discretionary decision making to ensure policy compliance, collaborating with the CEO to set strategy for the fiduciary department, and delivering on the client value proposition with direct access and prompt inquiries responses.
Required Qualifications
- 8+ years of Compliance experience with an RIA or Wealth Management Company
- Fund and Portfolio experience
- Strong knowledge of banking and compliance principles
- CRCM (Certified Regulatory Compliance Manager) is highly advantageous.
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