Manager, Compliance

Company Description: Pathstone is a dynamic, rapidly growing, partner-owned wealth management firm that serves ultra-high net worth families, single family offices, and foundations and endowments. Our comprehensive range of services and deep expertise goes far beyond investment advice. We provide tax planning and compliance, insurance and risk management, lifestyle management, wealth and estate planning, trust services, and philanthropy services. We have 20+ office locations and more than $100 Billion in Assets Under Advisement and Administration. The number of Pathstone team members has more than doubled in the past five years.

As a Certified B Corporation, Pathstone seeks to make a difference in the lives of our clients and their families as well as to offer a positive and supportive work environment for our employees. Our team members are encouraged to pursue their passions by serving on committees and initiatives addressing topics of importance to our business. Our talented people are our greatest asset and therefore we offer a competitive, comprehensive, and flexible benefits program that helps meet the needs of our team members and their families. Pathstone's generous benefits include comprehensive medical, vision, and dental coverage, flexible spending, flexible PTO, life insurance, education support, 401k plan, parental leave, and more.

This role supports the firm's Compliance Department.

Principle Purpose of Job: To ensure the firm adheres to regulations, mitigates risks, and maintains a strong compliance culture. Involves monitoring, reporting, and providing guidance on regulatory changes.

Essential Job Responsibilities:

• Monitor regulatory changes affecting investment advisers, assess their impact on firm operations, and help implement required changes.
• Ensure the firm's policies and procedures comply with current regulatory requirements and are effectively implemented.
• Prepare and file regulatory reports, such as Form ADV, Form U4/U5, Form 13H, Form 13F, etc.
• Develop and provide compliance training to firm personnel.
• Promote a strong compliance culture within the organization.
• Prepare for and support regulatory examinations and audits.
• Review and provide guidance on marketing materials for compliance with the SEC's Marketing Rule.
• Research and evaluate compliance and business technology solutions.
• Help with surveillance, monitoring, and testing as part of the firm's holistic compliance program.
• Contribute to special projects.

Requirements:

• Required Knowledge of: An understanding of the Investment Advisers Act of 1940 and SEC rules. Microsoft Office Suite. Knowledge of a CRM such as Salesforce is desirable. Experience with compliance management software and/or custodial platforms is beneficial.
• Required Skills and Abilities: Proficient typer, strong communicator, organized, detail-oriented, analytical thinker, flexible, the ability to work collaboratively, a problem solver, and curious - someone who seeks ways to improve processes. Candidates should have the ability to work both independently and within a team setting, remain composed and communicate effectively in high-pressure situations, prioritize tasks amid competing demands, exercise good judgement when handling sensitive information and situations, maintain confidentiality and professionalism in all interactions, and demonstrate an upbeat demeanor.

Candidates should also demonstrate attentive listening skills, customer service principles, and the ability to develop practical solutions to complex challenges.

Minimum Qualifications:

• Education: Bachelor's degree required.
• Work Experience: 5-7 years' experience in securities/regulatory compliance. Recent experience at a registered investment adviser in mid-level position is preferred.

Pathstone is committed to creating a diverse environment and is proud to be an equal opportunity employer.