Join to apply for the Manager, Compliance role at Pathstone.
Pathstone is a dynamic, rapidly growing, partner-owned wealth management firm serving ultra-high net worth families, single family offices, foundations, and endowments. We offer a comprehensive range of services including investment advice, tax planning, compliance, insurance, risk management, wealth and estate planning, trust services, and philanthropy. With 20+ offices and over $100 billion in assets under advisement, our team continues to expand.
As a Certified B Corporation, Pathstone is committed to making a positive impact on our clients and the community, fostering a supportive work environment, and promoting professional growth through various initiatives. Our benefits include medical, dental, vision, flexible spending accounts, PTO, life insurance, education support, 401(k), parental leave, and more.
Role Overview
This position supports our Compliance Department in ensuring adherence to regulations, risk mitigation, and fostering a strong compliance culture. Responsibilities include monitoring regulatory changes, reporting, and providing guidance on compliance matters.
Key Responsibilities
- Monitor and assess regulatory changes impacting investment advisers and implement necessary adjustments.
- Ensure compliance with policies and procedures according to current regulations.
- Prepare and file regulatory reports such as Form ADV, U4/U5, Form 13H, and Form 13F.
- Develop and deliver compliance training to staff.
- Support regulatory examinations and audits.
- Review marketing materials for compliance with SEC rules.
- Research compliance technology solutions.
- Participate in surveillance, monitoring, and testing activities.
- Contribute to special projects as needed.
Requirements
- Knowledge of the Investment Advisers Act of 1940, SEC rules, and familiarity with Microsoft Office; experience with Salesforce and compliance software is a plus.
- Strong communication, organization, analytical skills, and the ability to work independently and in teams.
- Excellent judgment, confidentiality, and professionalism.
Minimum Qualifications
- Bachelor’s degree required.
- 5-7 years of securities/regulatory compliance experience, preferably at a registered investment adviser.
Additional Information
Position level: Mid-Senior; Employment type: Full-time; Job function: Legal.