Supports adviser compliance operations by administering compliance platforms, monitoring broker data feeds, reconciling transactions and holdings, testing employee trades, preparing reports, and maintaining regulatory records. Identifies repetitive work, builds AI-assisted workflows, develops dashboards, documents processes, trains users, and measures automation impact. The role requires strong Excel skills, attention to detail, communication, problem-solving, and interest in investment adviser compliance.

Supports registered investment adviser clients with regulatory compliance, annual reviews, risk assessments, policy and procedure maintenance, regulatory filings, employee training, vendor reviews, forensic testing, and SEC, NFA, and state examinations. The role also assists with compliance program development and monitoring for investment advisers and registered funds.