Compliance Manager

We are looking for an experienced Compliance Manager to support regulatory oversight, corporate accounting coordination, and marketing review activities for an investment advisory organization in Madison, Wisconsin. This position plays a key role in strengthening internal controls, maintaining accurate records, and helping the firm adapt policies and practices as regulatory expectations evolve. The ideal candidate brings sound judgment, analytical strength, and the ability to work across teams while managing sensitive information with discretion.

Responsibilities:
• Oversee compliance reviews and testing activities to evaluate whether internal processes align with applicable investment adviser and investment company regulations.
• Revise compliance documentation and internal procedures in response to regulatory developments or organizational updates, ensuring guidance remains current and practical.
• Deliver regulatory training to employees and help coordinate education for investment adviser representatives to promote consistent adherence to compliance standards.
• Supervise monitoring activities related to electronic communications, employee trading, and other high-risk control areas, and address findings as needed.
• Assess third-party intermediaries and service providers, including review of contractual terms and oversight considerations tied to compliance obligations.
• Support governance and committee initiatives by serving as a compliance advisor, maintaining required records, and contributing to internal audit and risk-based testing efforts.
• Coordinate with external accounting partners on financial statement preparation, tax support documents, reconciliations, budgeting activities, and related corporate filings.
• Review accounting records for accuracy, analyze variances, and help manage banking, insurance, valuation reporting, and shareholder servicing invoice oversight.
• Examine marketing and advertising materials for regulatory compliance, maintain appropriate documentation, and assist with proposal submissions and industry conference preparation.

Qualifications:

• Bachelor’s degree in Accounting, Pre-Law, or a related discipline with a foundation in audit, accounting, legal, or compliance work.
• 4 to 6 years of experience in internal audit, public accounting, legal, or compliance-focused roles, preferably within financial services.
• Strong knowledge of financial statements, reconciliations, and monthly close concepts, with the ability to connect accounting activity to control oversight.
• Advanced proficiency in Excel and solid working knowledge of Microsoft Office applications; experience with QuickBooks or similar accounting software is preferred.
• Ability to interpret regulatory requirements and apply them effectively within policies, procedures, and ongoing monitoring programs.
• Excellent communication, organizational, and interpersonal skills, with the ability to handle multiple priorities independently and collaboratively.
• High level of professionalism, sound problem-solving ability, and careful attention to detail while maintaining confidentiality.
• Series 65 license is required or must be obtained during employment; familiarity with compliance and portfolio management systems is a plus.

Compensation

$90,000.00-$130,000.00 Yearly

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