Compliance and Office Manager
Frederick Fox, Las Vegas, NV, United States
Overview
A growing financial services firm is seeking a highly organized, detail‑driven
Compliance & Operations Coordinator
to support and strengthen its regulatory compliance program as the organization transitions to and operates as a Registered Investment Advisor (RIA).
This role is ideal for someone who thrives in a regulated environment, enjoys building process‑driven systems, and can balance compliance oversight with executive support and office operations.
Core Areas
The position’s responsibilities fall into three core areas, in order of priority:
Compliance Management & Regulatory Support
Executive Assistant Support to Senior Leadership
Office Management & Administrative Operations
The ideal candidate brings exceptional attention to detail, strong follow‑through, and the ability to manage sensitive information with professionalism and discretion.
Key Responsibilities
Compliance Management & Regulatory Oversight (Primary Focus)
Support the firm’s compliance program and ensure adherence to regulatory requirements applicable to a Registered Investment Advisor.
Responsibilities include:
Assist in implementing, maintaining, and monitoring compliance policies and procedures
Maintain compliance records in accordance with SEC and regulatory requirements
Support preparation and maintenance of regulatory filings, including Form ADV updates
Track compliance calendars and ensure timely completion of required filings
Prepare documentation for regulatory audits, examinations, and internal reviews
Maintain logs for training, attestations, certifications, and employee disclosures
Assist with annual compliance reviews and testing procedures
Track employee licensing, registrations, and continuing education
Review and organize regulatory documentation and internal compliance files
Support compliance monitoring related to marketing materials and communications
Coordinate compliance‑related meetings and maintain activity records
Partner with leadership and consultants on compliance initiatives and process improvements
Help promote a culture of compliance and operational discipline across the firm
Executive Assistant Support (Secondary Responsibility)
Provide high‑level administrative support to senior leadership.
Manage executive calendars, scheduling, and meeting coordination
Prepare agendas, presentations, reports, and internal documents
Coordinate travel arrangements and itineraries
Assist with email management, follow‑ups, and task tracking
Support client meeting logistics and preparation
Serve as a liaison between leadership and internal/external stakeholders
Handle confidential information with discretion and professionalism
Office Management & Administrative Operations (Third Priority)
Ensure smooth day‑to‑day office operations and a professional work environment.
Manage office supplies, vendors, and service providers (IT, facilities, etc.)
Maintain document management and internal filing systems
Support onboarding and offboarding logistics
Coordinate internal meetings, office events, and team logistics
Serve as the point of contact for office operations and administrative needs
Maintain organized workflows and administrative processes
Qualifications & Experience
5+ years of experience in financial services, compliance, operations, or executive support
Experience in a regulated environment strongly preferred (RIA, broker‑dealer, wealth management, banking, insurance)
Familiarity with compliance processes, regulatory documentation, and audit preparation
Exceptional attention to detail and ability to follow procedures precisely
Strong organizational and time‑management skills
Excellent written and verbal communication skills
High level of discretion handling confidential information
Proficiency with Microsoft Office; experience with compliance or document management tools preferred
Preferred Experience
Experience supporting RIA compliance programs
Familiarity with SEC regulatory requirements
Experience coordinating compliance documentation, filings, or internal audits
Ability to build and maintain process‑driven systems and workflows
Core Competencies
Strong regulatory mindset and attention to detail
Process‑oriented and highly organized
High integrity and discretion
Proactive, solutions‑oriented, and accountable
Able to manage multiple responsibilities and deadlines
Professional presence and strong interpersonal skills
In‑office role within a professional financial services environment
Requires handling sensitive financial and compliance‑related information
Occasional early or late hours may be needed to support executive schedules or compliance deadlines
Benefits:
Health benefits, PTO and paid holidays, 401(k) plan
#J-18808-Ljbffr
A growing financial services firm is seeking a highly organized, detail‑driven
Compliance & Operations Coordinator
to support and strengthen its regulatory compliance program as the organization transitions to and operates as a Registered Investment Advisor (RIA).
This role is ideal for someone who thrives in a regulated environment, enjoys building process‑driven systems, and can balance compliance oversight with executive support and office operations.
Core Areas
The position’s responsibilities fall into three core areas, in order of priority:
Compliance Management & Regulatory Support
Executive Assistant Support to Senior Leadership
Office Management & Administrative Operations
The ideal candidate brings exceptional attention to detail, strong follow‑through, and the ability to manage sensitive information with professionalism and discretion.
Key Responsibilities
Compliance Management & Regulatory Oversight (Primary Focus)
Support the firm’s compliance program and ensure adherence to regulatory requirements applicable to a Registered Investment Advisor.
Responsibilities include:
Assist in implementing, maintaining, and monitoring compliance policies and procedures
Maintain compliance records in accordance with SEC and regulatory requirements
Support preparation and maintenance of regulatory filings, including Form ADV updates
Track compliance calendars and ensure timely completion of required filings
Prepare documentation for regulatory audits, examinations, and internal reviews
Maintain logs for training, attestations, certifications, and employee disclosures
Assist with annual compliance reviews and testing procedures
Track employee licensing, registrations, and continuing education
Review and organize regulatory documentation and internal compliance files
Support compliance monitoring related to marketing materials and communications
Coordinate compliance‑related meetings and maintain activity records
Partner with leadership and consultants on compliance initiatives and process improvements
Help promote a culture of compliance and operational discipline across the firm
Executive Assistant Support (Secondary Responsibility)
Provide high‑level administrative support to senior leadership.
Manage executive calendars, scheduling, and meeting coordination
Prepare agendas, presentations, reports, and internal documents
Coordinate travel arrangements and itineraries
Assist with email management, follow‑ups, and task tracking
Support client meeting logistics and preparation
Serve as a liaison between leadership and internal/external stakeholders
Handle confidential information with discretion and professionalism
Office Management & Administrative Operations (Third Priority)
Ensure smooth day‑to‑day office operations and a professional work environment.
Manage office supplies, vendors, and service providers (IT, facilities, etc.)
Maintain document management and internal filing systems
Support onboarding and offboarding logistics
Coordinate internal meetings, office events, and team logistics
Serve as the point of contact for office operations and administrative needs
Maintain organized workflows and administrative processes
Qualifications & Experience
5+ years of experience in financial services, compliance, operations, or executive support
Experience in a regulated environment strongly preferred (RIA, broker‑dealer, wealth management, banking, insurance)
Familiarity with compliance processes, regulatory documentation, and audit preparation
Exceptional attention to detail and ability to follow procedures precisely
Strong organizational and time‑management skills
Excellent written and verbal communication skills
High level of discretion handling confidential information
Proficiency with Microsoft Office; experience with compliance or document management tools preferred
Preferred Experience
Experience supporting RIA compliance programs
Familiarity with SEC regulatory requirements
Experience coordinating compliance documentation, filings, or internal audits
Ability to build and maintain process‑driven systems and workflows
Core Competencies
Strong regulatory mindset and attention to detail
Process‑oriented and highly organized
High integrity and discretion
Proactive, solutions‑oriented, and accountable
Able to manage multiple responsibilities and deadlines
Professional presence and strong interpersonal skills
In‑office role within a professional financial services environment
Requires handling sensitive financial and compliance‑related information
Occasional early or late hours may be needed to support executive schedules or compliance deadlines
Benefits:
Health benefits, PTO and paid holidays, 401(k) plan
#J-18808-Ljbffr