Senior Compliance Operations Manager

Wealth Enhancement Group

. Lead and coordinate Compliance Operations programs, projects, and recurring obligations, establishing clear ownership, deliverables, deadlines, and escalation points .

Posted 11/12/2026full-timeRemote • United StatesSenior💰 $130,000 - $150,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in managing complex compliance operations and regulatory initiatives, with a strong focus on project management, stakeholder engagement, and process improvement. Proficient in leveraging GRC platforms and digital tools to enhance compliance workflows and reporting.

Highest-signal resume keywords

Project ManagementCompliance Process ImprovementGRC Platform ImplementationRegulatory Compliance KnowledgeTeam Leadership

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance Operations ManagementProject PlanningOperational Metrics DevelopmentWorkflow DevelopmentRisk ManagementRegulatory ReportingProcess AutomationStakeholder ManagementData AnalysisDocumentation Management

Soft Skills

Organizational SkillsCommunication SkillsPrioritization SkillsCoaching and FeedbackCross-Functional Collaboration

Tools & Technologies

GRC PlatformsLogicGate Risk CloudMyComplianceOfficeDigital ToolsAI Tools

Certifications & Qualifications

Bachelor's DegreeSeries 7Series 24Series 65

Industry Keywords

Financial ServicesRegulatory EnvironmentBroker-DealerInvestment AdviserCompliance Testing

Tech Stack

Tools & technologies

Cloud

About the role

Key responsibilities & impact

Lead and coordinate Compliance Operations programs, projects, and recurring obligations, establishing clear ownership, deliverables, deadlines, and escalation points
Manage assigned personnel, including establishing priorities and expectations, allocating work, providing coaching and feedback, and supporting employee development
Develop and maintain project plans and tracking mechanisms for complex compliance initiatives involving multiple stakeholders, dependencies, and deadlines, and drive assigned initiatives through implementation and completion
Maintain visibility into active projects, recurring requirements, outstanding commitments, risks, and required follow-up, and provide clear status reporting to management
Identify delays, resource constraints, control gaps, and emerging risks and coordinate appropriate follow-up or escalation
Develop practical reporting and metrics to support prioritization, capacity management, and oversight of Compliance Operations activities
Support the continued development and adoption of the firm's regulatory compliance GRC and workflow capabilities
Translate compliance requirements and operational processes into structured workflows with defined ownership, deadlines, approvals, documentation requirements, and escalation paths
Leverage GRC and workflow technology to improve management of compliance obligations, projects, issues and remediation, testing, examinations, and other Compliance activities
Develop reporting and identify opportunities to improve or automate manual processes, increase visibility, and reduce reliance on spreadsheets, email follow-up, and individual knowledge
Support the firm’s compliance policy and procedure governance process, including ownership, review schedules, approvals, publication, version control, and periodic updates
Coordinate with Compliance subject-matter experts and business owners to develop and maintain policies, written supervisory procedures, desktop procedures, and related guidance
Maintain visibility into required policy and procedure reviews and coordinate updates resulting from regulatory developments, organizational changes, examination or testing findings, and changes in business practices
Promote consistent documentation and help identify gaps between documented procedures and actual operating practices
Provide operational and project-management support for regulatory examinations, compliance testing, remediation, regulatory change, training, attestations, and other Compliance initiatives
Depending on organizational needs and the selected candidate’s experience, manage or support additional Compliance programs or personnel
Perform other related duties as assigned
Drive service improvement through AI and digital tools, creating and maintaining knowledge content, and driving improvements based on data and feedback

Requirements

What you’ll need

Bachelor's degree
Series 7, 24, and 65, or ability to obtain within 12 months of hire
Seven or more years of relevant experience in compliance, regulatory operations, or risk management in financial services or related field
Demonstrated experience managing complex projects, programs, or operational processes involving multiple stakeholders and competing deadlines
Strong project-management, organizational, prioritization, and follow-through skills
Experience managing employees or providing significant team or program leadership
Experience developing or improving compliance processes, procedures, controls, or workflows
Ability to manage numerous concurrent priorities in a fast-paced environment while maintaining visibility into deadlines and commitments
Strong written and verbal communication and cross-functional stakeholder-management skills
Experience implementing, administering, or materially improving a GRC or compliance workflow platform, such as LogicGate Risk Cloud, MyComplianceOffice, or a comparable platform
Experience developing compliance workflows, operational metrics, dashboards, or management reporting
Working knowledge of the broker-dealer and/or investment-adviser regulatory environment, particularly licensing and registration requirements and related broker-dealer and investment adviser registration processes
Proficient at using Ai and digital tool, creating and maintaining knowledge content and driving improvements based on data and feedback

Benefits

Comp & perks

Training and professional development
Medical, dental and vision coverage (Available to full-time employees and their families)
Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA) for medical, dependent, and transit expenses
Life and AD&D insurance – employer paid and voluntary options
Short-term and long-term disability, workers compensation – employer paid
401k with match and profit sharing
Wellness programs and resources
Voluntary benefits, including pet insurance
18 days of paid time off (PTO), accrued annually (25 PTO days after 4 years of service)
12 paid holidays each year (10 pre-determined and 2 floating days)
Paid parental leave and paid caregiver leave (Caregiver leave available after 6 months of tenure)
Reimbursement for tuition, licensing, and other credentials (Available after meeting service requirements)