Senior Compliance Manager

Summary:

Our award-winning, national Wealth Management (Registered Investment Advisory) client seeks a Senior Compliance Manager. Our client is a premier boutique company with a quiet reputation for working with the most elite clientele in the region. This role is responsible for managing the Firm's adherence to financial industry laws and regulations as well as best practices and will be actively engaged across many Firm initiatives to provide compliance advice, monitoring, and oversight.

This role is remote but required to go into HQ in Cleveland and Cincinnati a few times per year.

Responsibilities:

• Collaborates to define and refine the client's 1, 3 and 7 year strategy and plan.

• Mentors fiduciary team members to develop sound decision discretion on policy and philosophy.

• Refines and expansions fiduciary team goals.

• Internal expert for complex fiduciary solutions.

• Develops and promotes leadership qualities within the fiduciary team.

• Oversees discretionary decision making for the organization and ensures compliance of policies and procedures for the fiduciary team.

• Works closely with the CEO to set strategy and future goals for continued growth and development of the fiduciary department.

• Ensuring the fiduciary team delivers on the client's value proposition of direct access and prompt responses to inquiries.

Required Qualifications:

• 8+ years of Compliance experience with an RIA or Wealth Management Company

• Fund and Portfolio experience required

• Strong knowledge of banking and compliance principles

• CRCM (Certified Regulatory Compliance Manager) is highly advantageous.