Investment Operations & Compliance Specialist
Job Title: Investment Operations & Compliance Specialist
Job Type: Full Time, Direct Hire
Reports to: Chief Compliance Offer
Work Location: Primarily a Remote/WFH role but must be located in the Greater Tampa Bay Area. This position will require (employer-paid) travel to New York City for company meetings approximately once per month, based on business need.
Compensation: $70,000 to $80,000 (base salary range) + Discretionary Bonus (paid out quarterly)
Benefit Highlights: Medical/Dental/Vision Insurance plans, Short & Long Term Disability plans, Life Insurance plan, 401k plan with Company Match, Paid Time Off (20 days in total starting out; comprised of 10 Vacation days and 10 Sick/Personal days), and Paid Holidays (the firm follows the NYSE calendar for its Paid Holidays).
Firm Overview: A boutique and well-established investment adviser/asset manager, headquartered in Florida, is seeking an Investment Operations & Compliance Specialist to join its seasoned and high-performing team. This is an exciting opportunity for a motivated professional to grow their career in a collaborative environment that values integrity, ethical standards, and operational excellence.
Position Overview: The Investment Operations & Compliance Specialist will support the firm’s Chief Compliance Officer and other senior leaders across compliance, operations, and trading functions. The role is critical to ensuring adherence to regulatory requirements, mitigating risks, and supporting the firm’s ongoing commitment to a strong compliance culture.
Responsibilities:
Assist with day-to-day compliance and operational activities, including inter-departmental projects.
Maintain and update the Compliance Calendar/Matrix, manage personal trading surveillance, process pre-clearance requests, and oversee certifications, disclosures, and approvals.
Support trading operations, including trade data loading, trade reporting/analysis, and issue resolution. (Knowledge of INDATA-iPM OMS a plus)
Contribute to investigations, follow-ups, and corrective action plans, including preparation of board reporting.
Monitor regulatory developments, conduct policy research, and help implement compliance program enhancements.
Assist with portfolio restriction monitoring, trade surveillance, AML, cybersecurity, and business continuity reviews.
Support staff training on compliance, AML, and cybersecurity requirements.
Participate in vendor/third-party due diligence and collaborate with external consultants.
Assist with Schwab Alliance portal management for SMA and fund trading.
Support marketing material reviews, regulatory audits, and ad hoc projects.
Qualifications:
A high school diploma (or GED/equivalent) is required. A Bachelor’s degree in Finance, Economics, Business, etc. is preferred.
2+ years of compliance or trading/investment support experience within asset management, investment advisory, or related financial services.
Solid understanding of SEC (Investment Company Act / Investment Advisers Act) and FINRA regulations.
Strong analytical, problem-solving, communication, and interpersonal skills.
Proficiency with Microsoft Office Suite; experience with MyComplianceOffice software preferred.
Self-starter with the ability to work independently and manage multiple priorities.
High ethical standards and commitment to confidentiality.
DETAILS AT A GLANCE
JOB TITLE: Investment Operations & Compliance Specialist
JOB TYPE: Full Time, Direct Hire
START DATE: ASAP
LOCATION: Primarily a Remote/WFH role but must be located in the Greater Tampa Bay Area. This position will require (employer-paid) travel to New York City for company meetings approximately once per month, based on business need.
TIME COMMITMENT: Monday-Friday, 8 hours per day, 40 hours per week
HOURS: Standard business hours
COMPENSATION: $70,000 to $80,000 (base salary range) + Discretionary Bonus (paid out quarterly)
APPLICATION DEADLINE: ASAP
BNA RECRUITER: Nick Yacobi
HOW TO APPLY: Click on the apply button, fill out the form and upload your resume.
Please make sure to reference the job title and the BNA Recruiter Name.
This role is a FULL TIME position sourced through BNA. You would be employed and paid by the client company but we would represent you up until the offer stage.