Disciplina - Compliance Manager or Manager of ...

Disciplina - Compliance Manager or Manager of ComplianceReporting to the Chief Compliance Officer and working with the full investment team, assists in planning and directing aspects of the organization's operational policies, compliance policies, objectives, and initiatives including financial management strategy. Demonstrates expertise in a variety of the field's concepts, practices, and procedures. Performs and/or oversees a variety of tasks including, but not limited to client onboarding, compliance, corporate filings, financial reporting, invoicing, IT liaison, and purchasing/procurement. A wide degree of creativity and latitude is expected. Job DutiesContribute to the development of Disciplina's strategic goals and objectives as well as the overall management of the organizationHelp to manage outsourced relationships for compliance,, IT, legal, web design, personal trading, etc. Support the Chief Compliance Officer in conjunction with external consultants(s)Upgrade and implement appropriate system of policies, internal controls, personal trading, and procedures as requiredContinually research and recommend best practices in investment administration and operational risk management for implementationAid with onboarding new clientsAid with management of custody and fund administration requests for initial client onboarding and as required.Foster a success-oriented, accountable environment within the companyQualifications: Compliance experience as an employee of an RIAProven track record of success facilitating progressive organizational change and development within a growing organization· Degree(s): Undergraduate degree required, and graduate degree preferred Ability to manage stress well, perform under pressure in a fast paced, fun and collaborative environmentAble to work with confidential/highly sensitive informationEntrepreneurial team player who can multitaskExcellent interpersonal, organizational, communication and problem-solving skillsEnergetic, flexible, collaborative, and proactive; a team leader who can positively and productively impact both strategic and tactical finance and administration initiatives.Ability to work with common software programs and learn/adapt to new software programsPassion for Disciplina's missionPosition located in Nashville, TN; in office 4 days/week 

Created: 2025-03-03