Assistant Compliance Manager (Part-Time)

Job Overview:

We are seeking a diligent and detail-oriented Assistant Compliance Manager to support the Chief Compliance Officer (CCO) with managing the firm’s compliance program. This role involves ensuring that our Registered Investment Adviser (RIA) firm adheres to SEC and FINRA regulatory requirements. The ideal candidate will assist in the review of books and records, ensure the firm's compliance calendar is followed, and handle any compliance issues that arise.

Key Responsibilities:

- Books and Records Management: Conduct routine reviews of the firm’s books and records, ensuring all documentation is accurate, up-to-date, and complies with SEC and FINRA regulations.

- Compliance Calendar Oversight: Track and manage the firm’s compliance calendar to ensure all deadlines for regulatory filings and compliance tasks are met.

- Monthly Reporting: Assist the CCO in preparing monthly compliance reports for management review, including internal audits, regulatory updates, and status of compliance initiatives.

- Risk and Issue Tracking: Identify, document, and escalate any compliance risks or issues to the CCO, ensuring timely resolution.

- Policy and Procedure Updates: Assist in the review and update of the firm’s compliance policies and procedures to ensure they are aligned with the latest regulatory standards.

- Annual Compliance Review Support: Help prepare documentation and reports for the annual compliance review as required by SEC Rule 206(4)-7.

- Ongoing Training: Coordinate or assist with staff training programs focused on compliance awareness, cybersecurity, and regulatory updates.

Qualifications:

- Experience: At least 2-3 years of experience in a compliance-related role within an RIA or financial services firm is preferred.

- Regulatory Knowledge: Strong understanding of SEC and FINRA regulations, including familiarity with Form ADV, compliance audits, and Rule 204-2 requirements.

- Attention to Detail: Ability to thoroughly review records, identify potential compliance issues, and provide actionable recommendations.

- Organizational Skills: Highly organized with the ability to track multiple tasks and deadlines, ensuring the firm remains compliant with regulatory requirements.

- Communication: Strong written and verbal communication skills to effectively report compliance issues and collaborate with internal teams.

- Technology Proficiency: Familiarity with compliance software and tools for monitoring, tracking, and reporting compliance activities is a plus.

Why Join Us?

- Growth Opportunity: This is a part-time role with the potential for growth as the firm expands its compliance function.

- Flexible Work Hours: We offer flexible hours to accommodate your schedule, making this an ideal role for professionals looking for part-time engagement.

- Industry Impact: Work alongside experienced professionals in the financial services sector and help shape the compliance culture of a growing RIA firm.

Job Type: Part-time

Pay: $25.00 - $50.00 per hour

Expected hours: 5 – 10 per week

Physical Setting:

• Office

Schedule:

• Monday to Friday

Experience:

• Compliance management: 5 years (Required)

Security clearance:

• Confidential (Required)

Work Location: Hybrid remote in Lubbock, TX 79424

Salary : $25 - $50