Compliance & Operations Manager at Larch Capital Partners Llc

Miami, Florida, United States -

Full Time

Start Date

Immediate

Expiry Date

06 Jun, 26

Salary

0.0

Posted On

08 Mar, 26

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Compliance Execution, Client Onboarding, KYC Operations, AML, Operational Management, Administrative Management, HR Coordination, Record Keeping, Process Improvement, Regulatory Compliance, Risk Assessment, Documentation, Coordination, Process Oversight, Interpersonal Skills, Communication

Industry

Investment Management

Description

Benefits: Bonus based on performance Dental insurance Health insurance Profit sharing WHO WE ARE: Larch Capital Partners is a SEC-registered investment advisory firm focused on providing multi-family office services to ultra-high-net-worth individuals, primarily from Latin America. We are a collaborative organization with a collegial, creative, and dynamic work environment. We value high performance, teamwork, accountability, initiative, transparency, flexibility, independence, and the highest ethical standards. WE ARE LOOKING FOR: Compliance & Operations Manager MISSION Reporting directly to the COO, the Compliance & Operations Manager, to oversee day-to-day operational execution and internal compliance routines while supporting our outsourced Chief Compliance Officer (CCO). This role is responsible for ensuring that operational, administrative, HR-coordination, and client onboarding processes are executed accurately, documented properly, and aligned with regulatory and internal requirements. This is a hands-on management role responsible for execution, coordination, and process oversight — not for acting as the firm’s CCO or setting compliance policy. This role embraces the following duties and responsibilities: Compliance Execution Execute internal compliance routines in accordance with the firm’s compliance program and policies. • Serve as the primary day-to-day liaison with the outsourced CCO. • Maintain compliance logs, certifications, attestations, and supporting evidence. • Coordinate annual compliance tasks (training, code of ethics acknowledgements, risk assessments, testing support). • Assist with regulatory exams, audits, and inquiries by gathering documentation and coordinating responses. • Track regulatory deadlines and ensure timely internal preparation (ADV updates, filings support, recordkeeping). This role does not sign filings, approve compliance policy, or act as the designated CCO Client Onboarding & KYC Operations • Oversee and manage the client onboarding process from documentation through account opening. • Ensure completeness and accuracy of KYC, AML, suitability, and client agreements. • Coordinate onboarding workflows with custodians, portfolio management, and client service teams. • Maintain accurate client records across systems (CRM, custodian, portfolio reporting). • Monitor onboarding SLAs and resolve bottlenecks or deficiencies. Operations & Administrative Management • Manage daily operational routines and controls across the firm. • Maintain operational policies, procedures, and SOP documentation. • Coordinate with third-party vendors and service providers (custodians, technology, consultants). • Responsible for daily administrative routine, like meeting room, inventory. • Oversee record retention and data organization in line with regulatory requirements. • Identify operational risks and recommend process improvements and automation. HR Coordination • Coordinate employee onboarding and offboarding processes. • Track compliance-related and HR-related training completion. • Manage employee policy acknowledgements and internal certifications. • Serve as the operational point of contact for payroll, benefits, and HR vendors (no payroll ownership required). • Support leadership with headcount tracking and administrative HR reporting. • Act as a central operational point of accountability for recurring internal processes. Required Qualifications • 5+ years' experience in RIA operations, compliance support, investment operations, or financial services operations. • College degree • Strong understanding of: o RIA operational workflows o Client onboarding and KYC processes o Compliance execution and documentation requirements • Highly organized with strong attention to detail. • Ability to manage recurring deadlines and regulatory-driven tasks. • Strong written and verbal communication skills. Key Competencies • Process discipline and control mindset • Regulatory awareness without policy ownership • Strong execution and follow-through • Ability to work independently and escalate issues appropriately • High ethical standards and confidentiality • Fluency in English and Portuguese; Spanish is a plus. • Excellent interpersonal, communication, and presentation skills • Experience with Practifi (Salesforce) and Addepar is a plus.. Reporting Structure • Reports to: COO • Works closely with: Outsourced CCO, Finance, Client Service, and Senior Management • HR routines such as payroll, benefit plans and performance evaluation program; responsible for recruiting and onboarding new employees as needed. • Oversee client onboarding & KYC. Ensuring client documentation completeness. • Coordinate AML/KYC checks. • Maintain client records and CRM accuracy. • Manager Operations and administrative routine as vendor coordination, document process, operation control, data retention and recordkeeping, expenses control. • Preparing documents and presentations. • Availability to work in-office from 9 AM to 6 PM.

Responsibilities

This role is responsible for overseeing day-to-day operational execution and internal compliance routines, ensuring that operational, administrative, HR coordination, and client onboarding processes are executed accurately and documented properly. Duties include executing internal compliance routines, managing client onboarding workflows, maintaining operational policies, and coordinating HR administrative tasks.