Senior Compliance Manager-Legal / Compliance - Virtual

Compliance Program Manager

Join a dynamic team working directly with the Chief Compliance Officer to build and maintain a best-in-class compliance program. This role is critical in ensuring the firm's adherence to laws and regulations governing Investment Advisory and Broker-Dealer sales practices. You'll provide comprehensive compliance support, proactively identifying and addressing risks, and partnering across the business to implement effective controls that protect both the firm and its advisors.

Key Responsibilities :

• Identify and mitigate risk through participation in regulatory and business initiatives.
• Develop and maintain policies and procedures for a risk-based compliance framework.
• Lead strategic compliance reviews and resolve issues to reduce exposure.
• Oversee technology implementation and management for compliance operations.
• Onboard and train new compliance team members.
• Manage internal audit responses, including Anti-Money Laundering audits.
• Oversee customer complaint tracking and resolution.
• Conduct email reviews and escalate concerns as needed.
• Monitor sales practices for regulatory adherence.
• Review advertising and marketing materials for compliance.
• Lead compliance education efforts and track completion.
• Set strategic direction for compliance initiatives.
• Respond to inquiries from FINRA, SEC, and state regulators.
• Support special projects and ad hoc assignments.
• Provide compliance guidance to internal committees.
• Collaborate with leadership on succession planning aligned with strategic goals.

Qualifications :

Alight requires all virtual interviews to be conducted on video.

Flexible Working :

So that you can be your best at work and home, we consider flexible working arrangements wherever possible. Alight has been a leader in the flexible workspace and "Top 100 Company for Remote Jobs" 5 years in a row.

Benefits :

We offer programs and plans for a healthy mind, body, wallet and life because it's important our benefits care for the whole person. Options include a variety of health coverage options, wellbeing and support programs, retirement, vacation and sick leave, maternity, paternity & adoption leave, continuing education and training as well as several voluntary benefit options.

Our Commitment to Inclusion :

We celebrate differences and believe in fostering an environment where everyone feels valued, respected, and supported. We know that diverse teams are stronger, more innovative, and more successful.

At Alight, we welcome and embrace all individuals, regardless of their background, and are dedicated to creating a culture that enables every employee to thrive. Join us in building a brighter, more inclusive future.

Equal Opportunity Policy Statement :

Alight is an Equal Employment Opportunity employer and does not discriminate against anyone based on sex, race, color, religion, creed, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, marital or domestic partner status, citizenship, military or veteran status, sexual orientation, gender, gender identity or expression, genetic information, or any other legally protected characteristics or conduct covered by federal, state, or local law. In addition, we take affirmative action to employ, disabled persons, disabled veterans and other covered veterans.

Authorization to work in the Employing Country :

Applicants for employment in the country in which they are applying (Employing Country) must have work authorization that does not now or in the future require sponsorship of a visa for employment authorization in the Employing Country and with Alight.

Salary Pay Range :

Minimum : $125,000.00 USD

Maximum : $162,000.00 USD

Pay Transparency Statement : Alight considers a variety of factors in determining whether to extend an offer of employment and in setting the appropriate compensation level, including, but not limited to, a candidate's experience, education, certification / credentials, market data, internal equity, and geography. Alight makes these decisions on an individualized, non-discriminatory basis. Bonus and / or incentive eligibility are determined by role and level. Alight also offers a comprehensive benefits package; for specific details on our benefits package, please visit Wellbeing and Benefits Selector Page - Alight.