Manager, Compliance - Austin, Texas, , United States
1 day ago
Job description
Company Description: Pathstone is a growing wealth management firm serving ultra-high net worth families, single family offices, foundations, and endowments. We are united by a clear purpose: to help clients pursue their Preferred Life — with clarity, confidence, and long-term support across the full landscape of wealth and well-being.
Our services include investment advisory, as well as integrated planning and coordination across key areas such as tax strategy, risk management guidance, wealth and estate planning support, philanthropic planning, and family governance — helping clients navigate complexity and make informed decisions aligned with their goals.
With more than 20 office locations and over $100 billion in client assets under management, advisory, administration, and related services, Pathstone has expanded significantly over the past five years, reflecting sustained momentum and continued investment in our team and platform.
Pathstone is committed to making a meaningful difference for clients and their families, while fostering a supportive, purpose-driven environment for our professionals. Team members are encouraged to pursue their interests and contribute to the firm's culture through committees and initiatives that help shape our shared mission.
Our people are our greatest asset, and we offer a competitive, flexible benefits program designed to support life both inside and outside of work. Benefits include comprehensive medical, vision, and dental coverage, flexible spending options, flexible PTO, life insurance, education support, a 401(k) plan, parental leave, and more.
Role Overview: This role supports Pathstone's Compliance Group and plays a key role in maintaining a strong, risk‑based compliance program. The Manager, Compliance will help ensure adherence to regulatory requirements, support enterprise risk management initiatives, and promote a culture of integrity, accountability, and effective governance across the firm.
Principal Purpose of the Job: To ensure the firm adheres to applicable regulatory requirements, proactively identifies and mitigates risk, and maintains an effective compliance and risk management framework. This role involves monitoring regulatory developments, supporting compliance operations, and providing practical guidance to business partners across the firm.
Key Responsibilities:
- Monitor regulatory developments affecting registered investment advisers, assess potential impacts, and support implementation of required changes.
- Ensure the firm's compliance policies and procedures are current, effective, and aligned with regulatory expectations and internal risk management practices.
- Support the firm's enterprise risk management efforts, including experience with risk frameworks such as COSO, risk assessments, control design, and documentation.
- Assist with the development, implementation, and maintenance of the firm's Anti‑Money Laundering (AML) compliance program, including monitoring, reporting, and periodic reviews, as applicable.
- Review marketing materials for compliance with the SEC's Marketing Rule and related regulatory requirements.
- Prepare, review, and file regulatory reports, including Form ADV, Form U4/U5, Form 13H, Form 13F, and related filings.
- Develop and deliver compliance training and guidance to firm personnel.
- Prepare for and support regulatory examinations, audits, and internal reviews.
- Assist with compliance surveillance, monitoring, and testing activities as part of the firm's holistic compliance program.
- Contribute to special projects and cross‑functional initiatives as needed.
Required Knowledge, Skills, and Abilities:
- Working knowledge of the Investment Advisers Act of 1940 and SEC rules applicable to registered investment advisers.
- Familiarity with enterprise risk management concepts and frameworks (e.g., COSO), including risk identification, assessment, and controls.
- Understanding of AML principles, regulatory expectations, and risk‑based approaches appropriate to advisory firms.
- Proficiency with Microsoft Office Suite; experience with CRM systems such as Salesforce is desirable.
- Experience with compliance management systems and/or custodial platforms is a plus.
- Strong organizational, analytical, and communication skills; detail‑oriented with sound judgment and discretion.
- Ability to work independently and collaboratively, manage competing priorities, and communicate effectively in high‑pressure or sensitive situations.
Minimum Qualifications:
- Education: Bachelor's degree required.
- Experience: 5–7 years of experience in securities or regulatory compliance. Prior experience at a registered investment adviser in a mid‑level compliance role is preferred.
Pay Transparency: Pathstone's expected starting base compensation range for the position as of the time of this posting is $80,000 - $90,000 per year. The actual base compensation selected for this role will be set based on a variety of factors, including (but not limited to) experience, education, specialty and training. The successful candidate(s) may also be eligible for a discretionary bonus award.
Visa Sponsorship: Please note, we are unable to provide visa sponsorship for the position offered. Accordingly, we are unable to hire individuals who require, or will require, employment visa sponsorship either now or in the future.
Pathstone is proud to be an equal opportunity employer.
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