Senior Manager, Compliance

Senior Manager to build, own, and operate AAM’s compliance program for a fast-growing advisory business. Lead Advisers Act compliance (206(4)-7), manage regulatory filings (Form ADV, Form CRS, IARD/CRD), oversee marketing compliance under Rule 206(4)-1, supervise governance and risk processes, maintain Code of Ethics, and coordinate SEC/state examinations. Collaborate with Legal, Operations, Product, and Technology; manage reporting, testing, and training; ensure records, privacy, and pay-to-play controls; oversee sub-advisory/co-advisory/solicitor arrangements; and drive a culture of compliance with scalable controls across fintech/advisory operations. Requires 7–10+ years of investment adviser/compliance experience; strong drafting, communication, and stakeholder-management skills; familiarity with UMA/SMA platforms and model marketplaces; and comfort operating in a fast-paced environment. Hybrid work schedule; salary range $139,600–$174,500.