Compliance and Operations Lead

Job Description

We are seeking an experienced Operations Manager to join a growing investment management firm. This individual will be responsible for day-to-day fund operations while also supporting and administering the firm's compliance program.

This is a highly hands-on role with significant autonomy and visibility to senior leadership. The ideal candidate is comfortable working in a lean environment and wants the opportunity to build and improve operational processes rather than simply maintain an established function.

Skills and Requirements

5+ years of experience in operations and/or compliance within an investment management firm Must have hands-on exposure to BOTH a FINRA member broker-dealer and a Registered Investment Adviser (RIA) Working knowledge of the Investment Advisers Act of 1940, Securities Exchange Act of 1934, FINRA rules, and Regulation Best Interest Direct experience working with a fund administrator, prime broker, and full annual audit cycle Advanced Excel skills, including the ability to build and maintain models, reconciliations, and reporting packages without IT support Comfortable working remotely with a high level of autonomy Available for periodic travel to Birmingham, Alabama

LICENSES

Must currently hold or be able to obtain within the first year under firm sponsorship:

SIE + Series 7 or Series 82 Series 63 Series 65 or Series 66 Series 24 (General Securities Principal) – REQUIRED Additional licenses/certifications that are beneficial:

Series 14 (Compliance Officer) Series 4 (Registered Options Principal) CRCP CSCP

Hedge fund, private equity, or venture capital experience Regulation D private placements Side letters LP/investor onboarding Waterfall and allocation mechanics

We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal employment opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment without regard to race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or the recruiting process, please send a request to [email protected].