Why Choose OneSeven?
OneSeven is a rapidly growing SEC-registered investment adviser committed to delivering exceptional fiduciary service while maintaining a strong culture of compliance. We offer a casual and friendly work environment with cooperative, helpful coworkers, support for life/work balance, and the opportunity to work from home.
Headquartered in Beachwood, Ohio, we are pleased to invite an experienced Compliance Manager to join our remote team. Ideally, this remote position will operate in eastern or central time zones.
This position reports directly to the Chief Compliance Officer and offers the opportunity to gain broad exposure to all aspects of investment adviser compliance, including regulatory filings, advertising review, regulatory examinations, compliance testing, policy development, advisor supervision, and strategic compliance initiatives.
About You
- You have 3–5 years’ experience in investment advisory compliance or a related operations role, preferably within an SEC-registered RIA, particularly one operating in a decentralized environment
- Ideally, you have a bachelor's degree in finance, business administration, or a related field.
- You have a working knowledge of the Investment Advisers Act of 1940 and SEC regulations, including familiarity with the SEC Marketing Rule.
- You ideally have experience or exposure to Form ADV (Parts 1 & 2), Form CRS, and regulatory filings processes.
- You are detail-oriented, organized, and proactive, with the ability to manage multiple compliance tasks and deadlines.
- You communicate effectively with advisors and business partners, providing practical, solutions-oriented guidance.
- You demonstrate sound judgment, integrity, and a willingness to escalate issues appropriately when needed.
Your Typical Day
- Support the administration and ongoing improvement of the firm’s compliance program in partnership with senior compliance leadership.
- Review marketing and advertising materials to ensure compliance with SEC Rule 206(4)-1 (Marketing Rule) and internal policies.
- Respond to advisor and internal team questions, offering clear, practical compliance guidance.
- Assist in the preparation, review, and maintenance of key regulatory filings, including Form ADV and Form CRS.
- Help track compliance requirements, deadlines, registrations, and internal reporting.
- Contribute to onboarding/offboarding processes and compliance documentation, including advisor registration and licensing.
- Assist with compliance monitoring, testing activities, and special projects, as needed.
Equal Opportunity Employment
OneSeven believes in equal opportunity for all and is committed to ensuring all individuals have an opportunity to apply for those positions that they are interested in and qualify for without regard to any protected characteristic under federal or state law.
OneSeven is also committed to providing reasonable accommodations to qualified individuals with a disability so that an individual can perform job-related duties. If you are interested in applying for an employment opportunity and require special assistance or an accommodation to apply due to a disability, please contact [email protected] or 833-832-8085.
Job Type: Full-time
Pay: $70,000.00 - $80,000.00 per year
Benefits:
- 401(k)
- Dental insurance
- Employee assistance program
- Flexible schedule
- Flexible spending account
- Health insurance
- Health savings account
- Life insurance
- Paid time off
- Vision insurance
Application Question(s):
- Will you require sponsorship for a work VISA, now or in the future?
- Please describe your professional experience in investment advisory compliance. Work experience in an SEC-registered RIA or a dual-registrant environment is preferred.
Work Location: Remote
