Job Overview

The Remote Compliance Operations Manager will enhance the efficiency of the Legal & Compliance Department by overseeing strategic planning, financial management, and technology initiatives to streamline processes and reduce costs. This role includes developing and managing control systems to ensure compliance with legal and internal policies while handling the department’s operational needs.

Acting as a liaison between Legal & Compliance and other departments, the Compliance Operations Manager ensures alignment with company goals. This position reports to the Chief Compliance Officer and CEO and supports both the Compliance and Legal teams.

Responsibilities:

• Oversee the department’s budget, including forecasting, allocation, and expense tracking to ensure financial efficiency and accountability.
• Implement and manage legal/compliance technology solutions, such as contract management systems and e-billing platforms, to streamline operations and enhance productivity.
• Develop and enforce policies and procedures for the legal and compliance department to ensure compliance with regulatory requirements and internal standards.
• Coordinate with external counsel and service providers, managing relationships and negotiating terms to optimize service quality and cost-effectiveness.
• Facilitate cross-functional collaboration between the legal and compliance department and other departments, ensuring legal considerations are integrated into company strategies and projects.
• Manage the department’s staffing, including recruitment, training, and performance evaluation, to build a high-performing team.
• Design and oversee the department’s knowledge management system to ensure critical information is accessible and organized.
• Lead initiatives for corporate social responsibility and ethical conduct within the department, promoting a culture of integrity and accountability.
• Develop and oversee control systems to prevent or deal with violations of legal guidelines and internal policies.
• Evaluate the efficiency of controls and improve them continuously.
• Revise procedures, reports, etc., periodically to identify hidden risks or non-conformity issues.
• Assess the business’s future ventures to identify possible compliance risks.

Requirements:

• Prior experience in the financial services industry either with a broker/dealer, Investment Advisor, or Registered Investment Advisor.
• Expertise in SEC regulations relevant to wealth management, investment advisory firms, and broker-dealers.
• 7–10 years of experience in compliance, legal operations, or regulatory risk management, ideally in financial services or wealth management.
• Proven experience managing SEC compliance programs and overseeing legal/compliance operations (budgeting, technology, vendor management).
• Demonstrated ability to develop, implement, and monitor compliance policies and procedures.
• Series 65 License strongly preferred.
• Bachelor’s degree in Business Administration, Finance, Law, or related field required.
• Strong project management skills for cross-functional initiatives.
• Excellent analytical, problem-solving, and strategic thinking abilities.
• Outstanding communication and interpersonal skills for engaging internal teams, leadership, and external counsel.
• Familiarity with compliance technology solutions (e.g., e-billing, legal hold tools, compliance tracking, contract management).
• High integrity, sound judgment, and commitment to confidentiality.
• Professional certifications (CRCM, CRCMP, or equivalent) a plus.
• Experience in organizational transformation, efficiency initiatives, or knowledge management systems.
• Background in corporate social responsibility (CSR) or ethics programs is a plus.

Hours:

• Full-time
• Start time is 7:00am PST
• Occasional travel may be required for meetings, regulatory training, or industry conferences.
• Remote Office model preferred; must be available for regular meetings with senior leadership and department leaders.

The Pacific Financial Group is an innovative, fast-growing investment and Wealth Tech company that has prided itself on the principle that everyone should have access to quality, independent investment advice. We maintain a friendly, supportive workplace in which everyone is given the opportunity to advance their potential. We are looking for a Compliance Operations Manager who has strong regulatory knowledge and attention to detail, a process-oriented and problem-solving mindset, and effective communication and leadership

To ensure your application receives full consideration, please send your resume and cover letter to careers@tpfg.com. Include your full name and position applied for in the email subject line (e.g., John Smith – Compliance Operations Manager).

This recruitment is being supported by Regal Resources, TPFG’s HR consulting team. If you're a match, someone from our team at Regal Resources will reach out directly to guide you through the next steps.

Click on the link below to apply and send your resume today!
Include your full name and position applied for in the email subject line (e.g., John Smith - Client Services Associate).