POSITION DESCRIPTION

The Accounting & Compliance Manager is responsible for managing payroll, financial transactions, compliance activities, and employee onboarding support. This role ensures the firm’s financial records are accurate, regulatory requirements are met, and employees are properly set up in HR systems. The position requires strong attention to detail, integrity, and the ability to manage sensitive information with discretion.
Requirements:

ROLE OBJECTIVES

The Accounting & Compliance Manager ensures the accuracy and timeliness of payroll, financial transactions, and advisor compensation records, while also supporting compliance processes for the firm and its advisors. This role plays a key part in maintaining regulatory requirements, tracking licensing and continuing education, and ensuring all financial reporting is complete and reliable. In addition, this role supports employee onboarding and offboarding by managing HRIS setup and benefits administration, and assists with operational and office needs to keep processes running smoothly across the firm. Success in this role is measured by the accuracy of financial records, adherence to regulatory standards, timely execution of payroll and compliance tasks, and reliable support to both employees and leadership.

CORE RESPONSIBILITIES

Financial Management & Reporting

• Record and reconcile all financial transactions using QuickBooks Online and other firm systems
• Track revenue by client and vendor; ensure all payments, receipts, invoices, and deposits are recorded accurately
• Process payroll semi-monthly, including advisor incentive and bonus compensation, ensuring accuracy and timeliness
• Reconcile bank and credit card statements monthly
• Compile and analyze financial data to support leadership reporting and decision-making
• Assist with preparing quarterly and annual tax forms and other required financial reports

Compliance Administration

• Partner with the Chief Compliance Officer to address day-to-day compliance needs for the firm and advisors
• Utilize RIA in a Box to manage firm compliance activities and reporting requirements
• Coordinate advisor licensing, continuing education, and maintenance of insurance, securities, and industry designations
• Maintain records for firm signatures, designations, and regulatory filings

Employee Onboarding, Offboarding, and HRIS Support

• Coordinate onboarding and offboarding processes, including HRIS setup, benefits enrollment, and payroll changes
• Ensure new hires receive and complete all required benefits and compliance paperwork
• Submit new hire benefit information to relevant carriers and maintain accurate records

Operational Support

• Provide support to other departments for investment and retirement plan meetings and events when needed
• Assist with preparing financial or compliance-related materials for internal stakeholders
• Ensure documentation and processes align with internal policies and regulatory standards
• Support general office operations by assisting with minor tasks such as keeping shared spaces tidy, monitoring supplies, coordinating orders, and managing shipping labels and printing needs