Private Advisor Group

Location: Hybrid - Rock Hill, SC

Overview

Private Advisor Group is a SEC registered investment advisor (RIA) committed to providing excellent financial services to our clients, while maintaining the highest level of compliance with regulatory requirements. We are seeking an experienced, motivated and proactive Compliance Project & Operations Manager to join our Compliance Department at an SEC-registered investment adviser (RIA) with affiliated broker-dealer operations. This role is ideal for someone with a solid foundation in both investment advisory and broker-dealer compliance, combined with strong project management and operational leadership skills.

The successful candidate will lead the compliance service, manage ongoing departmental projects, coordinate key compliance initiatives, and support the overall effectiveness of the firm’s compliance program. This role also includes oversight of one staff member and various administrative and operational responsibilities to support the compliance team.

Responsibilities:

• Project & Program Management
  • Manage and coordinate compliance-related projects, including cross-departmental initiatives, regulatory deliverables, and internal process improvements.
  • Track progress, communicate timelines, and escalate risks to ensure timely completion.
  • Maintain comprehensive documentation of project milestones and outcomes.
• Compliance Service Leadership
  • Serve as the day-to-day manager of the compliance service, overseeing service requests, issue resolution, and advisor communications.
  • Follow up with advisors and business partners on overdue compliance items or escalations.
  • Identify trends and propose process enhancements to improve service efficiency and effectiveness.
• Compliance Reporting & Metrics
  • Track, log, and escalate client complaints according to firm policies and regulatory guidelines.
  • Develop and maintain executive-level reports and dashboards to monitor compliance activities, trends, and risks.
  • Prepare materials for leadership updates, board meetings, and internal committees.
• Advisor Support & Training
  • Coordinate and track the Annual Compliance Questionnaire, including distribution, response monitoring, and resolution of follow-ups.
  • Create PowerPoint presentations and supporting materials for internal compliance training, including firm-wide sessions and advisor-specific briefings.
• Content Management & Communications
  • Maintain up-to-date compliance documentation on the company intranet, ensuring easy access to policies, procedures, disclosures, and training tools.
  • Collaborate with internal stakeholders to ensure consistent and clear compliance messaging.
• Staff Oversight & Administrative Support
  • Supervise and support one or more compliance staff members; provide coaching, direction, and task prioritization.
  • Support administrative functions for the compliance department, including project coordination, file management, and preparation of compliance-related materials.

Qualifications: 

• Bachelor’s degree required; preferred fields include Business, Finance, Legal Studies, or a related discipline.
• 5+ years of experience in a compliance or operations role within financial services.
• Demonstrated knowledge of both investment adviser and broker-dealer regulatory environments, including SEC and FINRA rules.
• Familiarity with key regulatory requirements such as the Investment Advisers Act of 1940, FINRA rules, Form ADV, marketing rule, books and records, suitability, and disclosures.
• Strong project management and organizational skills; PMP certification is a plus.
• Experience with compliance technology platforms and CRM systems.
• Advanced proficiency with Microsoft Office, particularly Excel and PowerPoint.
• Excellent communication skills—both written and verbal—with the ability to summarize complex issues for various audiences.
• High attention to detail, discretion, and professionalism.
• Ability to work independently while managing multiple priorities and deadlines.

Preferred Skills:

• Series 7, 24, 65 or 66
• Prior experience in a hybrid RIA/BD environment.
• Familiarity with compliance tracking, reporting, and dashboard tools.
• Experience preparing compliance presentations for executive or board-level audiences.
• Supervisory experience in a compliance or operations function.

To apply: jim.hooks@privateadvisorgroup.com