Job Opportunity and Responsibilities:Stable Rock is seeking a Manager, Regulatory & Compliance, to support delivery of regulatory consulting services to investment advisers, registered investment companies, and private fund managers.
Managers oversee the execution of compliance monitoring programs and assist clients in maintaining regulatory compliance with applicable federal and state securities regulations.
Managers also supervise Senior Associates responsible for compliance testing and operational monitoring.
Key Responsibilities:- Manage day-to-day compliance monitoring activities across client engagements.
- Review outputs from compliance testing programs including personal trading monitoring, restricted list reviews, and trade surveillance.
- Assist clients with preparation of regulatory filings including Form ADV updates.
- Support annual compliance program reviews and risk assessments.
- Assist with mock regulatory examinations and regulatory readiness assessments.
- Supervise Senior Associates performing compliance monitoring and documentation.
- Assist with onboarding new compliance consulting clients.
Qualifications, Skills, and Experience:- Education: Bachelor's degree in Finance, Accounting, Business Administration, Economics, or a related field required.
- Professional certifications such as Juris Doctor (J.D.), Investment Adviser Certified Compliance Professional (IACCP) or FINRA securities licenses (Series 7, 24, 63, or 65) preferred.
- Experience: 4+ years of investment adviser compliance experience within a consulting firm, law firm, or registered investment adviser.
- Skills:
- Working knowledge of the Investment Advisers Act of 1940 and SEC regulatory requirements
- Experience supporting compliance monitoring programs for registered investment advisers
- Ability to review compliance testing outputs including personal trading monitoring, restricted list reviews, and surveillance activities
- Strong analytical and problem-solving skills
- Strong written documentation and reporting skills
- Ability to manage multiple tasks and deadlines in a consulting environment
- Effective communication skills for working with clients and internal teams
Software and Technology: Proficiency with Microsoft Office, experience using Claude or other AI agents in a compliance setting and ability to thrive in a tech-enabled environment
The Stable Rock Difference- Direct access to founders, CCOs, and executive leadership at private fund managers, with true advisory influence rather than siloed task execution
- Opportunity to serve as a strategic partner, and in select cases Outsourced CCO, with meaningful ownership over client relationships and regulatory outcomes
- Broader exposure to complex engagements including mock SEC exams, registrations, risk assessments, and regulatory filings in a hands-on environment
- Ability to help design and enhance tech-enabled compliance solutions, shaping infrastructure in a growing, entrepreneurial firm
LocationWe are open to exceptional talent nationwide, with a strong preference for candidates located in or near our core markets:
Boston,New York, Dallas, Miami, Chicago, San Francisco, and Los Angeles. We offer hybrid work flexibility to support professional and personal balance.
CompensationCompetitive base salary ranging from $110,000 to $135,000, based on experience and location, with eligibility for a discretionary performance bonus.
Benefits:- Medical, Dental, and Vision insurance coverage. Employee-only premiums are paid at 100%.
- Health Savings Account (HSA) and Flexible Spending Account (FSA) options
- 401(k) retirement savings plan
- Unlimited paid time off policy
