Compliance Manager

Description We are looking for an experienced Compliance Manager to support regulatory oversight, corporate accounting coordination, and marketing review activities for an investment advisory organization in Madison, Wisconsin. This position plays a key role in strengthening internal controls, maintaining accurate records, and helping the firm adapt policies and practices as regulatory expectations evolve. The ideal candidate brings sound judgment, analytical strength, and the ability to work across teams while managing sensitive information with discretion.

Responsibilities:
• Oversee compliance reviews and testing activities to evaluate whether internal processes align with applicable investment adviser and investment company regulations.
• Revise compliance documentation and internal procedures in response to regulatory developments or organizational updates, ensuring guidance remains current and practical.
• Deliver regulatory training to employees and help coordi...

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