Compliance Manager

Lyneer Search Group ·lyneersearch.com

Location Wayne, PA, US
Type Full time
Level Mid
Source Shazamme
Legal
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Compliance Manager

Overview:

The Compliance Manager serves as a core execution resource supporting outsourced CCO engagements and broader compliance consulting projects. This role is responsible for day-to-day compliance program support, testing, regulatory filings, and client deliverables, while developing toward a future CCO or senior advisory role.

Responsibilities:

Client Service & Program Execution

·      Support outsourced CCO engagements across RIAs, ERAs, private fund advisers, and broker-dealers

·      Assist in administration of compliance programs under Rule 206(4)-7

·      Draft and update compliance manuals, policies, and procedures

·      Conduct compliance testing (annual reviews, risk assessments, thematic reviews)

·      Monitor regulatory developments and prepare client alerts

Regulatory Filings & Reporting

·      Prepare and support filings including; Form ADV (Parts 1 & 2), Form PF (supporting data collection), Form D, 13F / 13D / 13G (as applicable)

·      Maintain filing calendars and ensure timely submissions

Operational Compliance

·      Support Code of Ethics administration (personal trading, attestations, certifications)

·      Assist with vendor due diligence and cybersecurity oversight support (Reg S-P alignment

·      Participate in SOC 1/SOC 2 reviews and service provider oversight

Client Relationships

·      Participate in client calls and internal compliance meetings

·      Respond to routine client inquiries with supervision

·      Escalate complex regulatory issues appropriately

 

 

Qualifications

·      Experience: 3–7+ years of relevant experience in Investment adviser compliance, Consulting firms, and/or in-house compliance roles at RIAs, private funds, or broker-dealers

·      Technical Knowledge with strong understanding of Investment Advisers Act of 1940, SEC Marketing Rule and Private fund structures and Reg D offerings. Familiarity with Registered funds (’40 Act) basics (preferred but not required) and Custody Rule and valuation concepts.

Ø Core Competencies; Detail-oriented with strong organizational skills, Ability to manage multiple clients and deadlines, Strong writing and documentation skills, Analytical thinker with problem-solving ability, Collaborative team player with client-service mindset

 


Frequently asked questions

Who is hiring for the Compliance Manager role?
Lyneer Search Group is hiring for the Compliance Manager position, a Shazamme client. Apply directly on the employer's career site.
Where is the Compliance Manager job located?
The Compliance Manager role with Lyneer Search Group is based in Wayne, PA, US.
Is the Compliance Manager role full-time or contract?
This is a full time position at Lyneer Search Group.
What experience level is the Compliance Manager role?
The Compliance Manager position is aimed at mid-level candidates.
How do I apply for the Compliance Manager role at Lyneer Search Group?
Apply directly on Lyneer Search Group's career page via the Apply button on this listing. ZammeJobs links straight through to the employer's ATS — no third-party form, no resume database.
Apply direct