Reference Number: HRJ7863
Location: Middleburg Heights, Ohio

Judson Group is proud to be retained in the search for a Compliance Manager – Wealth Management for a growing boutique wealth management firm entering a critical stage of scale. As the firm advances toward $1B in assets under management, it is making intentional investments in institutional-quality systems, processes, and governance—while preserving the culture, service, and client experience that define a boutique firm. This role is a direct investment in that effort.

The Compliance Manager will play a central role in ensuring strong regulatory readiness, well-organized and defensible compliance documentation, and consistent execution across the firm’s compliance function. This position is ideal for a professional who thrives on building structure, managing complexity, and contributing to a high-accountability, team-oriented environment.

The ideal candidate is a highly organized and detail-oriented compliance professional who takes pride in building structure and bringing clarity to complex regulatory environments. They are dependable, process-driven, and operate with a high level of integrity and accountability. They thrive in a growing firm environment where they can take ownership, contribute to infrastructure development, and play a meaningful role in supporting long-term operational excellence.

Why You’ll Love This Role:

• Play a central role in building and enhancing a best-in-class compliance infrastructure within a growing firm.
• Be part of a firm scaling intentionally—combining institutional-quality systems with a boutique culture.
• Gain exposure to a broad range of compliance, risk management, and operational areas.
• Work closely with firm leadership and external compliance partners in a highly collaborative environment.
• Take ownership of meaningful work that directly supports the firm’s growth and fiduciary standards.
• Grow your career within a firm that is investing thoughtfully in its people, processes, and long-term success.

What You’ll Be Doing:

• Support the continued development and strengthening of the firm’s compliance infrastructure as the organization scales.
• Administer and maintain key elements of the firm’s compliance program, ensuring accuracy, organization, and regulatory alignment.
• Maintain regulatory filings and disclosures, including Form ADV, Form CRS, and other required documentation.
• Manage the firm’s compliance calendar and track all regulatory deadlines and filings.
• Maintain regulatory books and records in accordance with SEC and state requirements.
• Coordinate documentation for regulatory examinations and internal compliance reviews.
• Review marketing materials, client communications, website updates, and social media content for compliance with the SEC Marketing Rule.
• Maintain advertising archives and supporting substantiation documentation.
• Conduct trade surveillance reviews, monitor exception reports, and maintain trade-related documentation including error logs and allocation records.
• Support best execution documentation and oversight of trading practices.
• Maintain documentation supporting the firm’s cybersecurity program, including risk assessments, policies, and training records.
• Coordinate with external providers on cybersecurity and IT-related compliance matters.
• Administer vendor risk management processes, including maintaining vendor due diligence files, risk scoring, and review schedules.
• Maintain operational risk documentation, including the firm’s risk register, incident tracking, and business continuity plans.
• Support periodic risk assessments and business continuity testing.
• Oversee documentation related to business insurance policies and coordinate annual renewals.
• Monitor adherence to the firm’s Code of Ethics, including personal trading, certifications, and employee disclosures.
• Support internal compliance testing, maintain documentation for the annual compliance review, and assist in preparation for SEC examinations.

What We’re Looking For:

• 5+ years of compliance experience within a Registered Investment Advisor (RIA) or similar environment.
• Strong familiarity with SEC regulatory requirements, including Form ADV, compliance program administration, and recordkeeping.
• Experience supporting regulatory exams, compliance reviews, or audits.
• Familiarity with compliance technology platforms and systems.
• Exceptional attention to detail and strong organizational skills.
• Ability to manage multiple regulatory workflows and maintain accurate documentation.
• Sound judgment, discretion, and ability to identify and appropriately escalate issues.
• Comfort working within structured processes and regulatory frameworks.
• High integrity, professionalism, and accountability.
• Strong process discipline and commitment to operational excellence.
• Collaborative mindset with the ability to work cross-functionally.
• Experience with cybersecurity documentation or vendor risk management.
• Familiarity with trade surveillance and compliance testing processes.

Compensation & Benefits:

• Highly competitive base salary + bonus opportunities
• Full suite of benefits

Reference Number: HRJ7863
Location: Middleburg Heights, Ohio