Compliance Program Manager

Compliance Program Manager

Strategas Asset Management (SAM) is an SEC-registered investment advisory firm (RIA). Through common ownership, SAM is affiliated with Strategas Securities, LLC (STS), a FINRA member broker-dealer and RIA. SAM offers a suite of model portfolios to clients. The model portfolios are created by SAM's affiliate, STS, through its macro research group or are created by SAM using STS research. SAM offers the model portfolios through non-discretionary model delivery relationships, discretionary separately managed accounts (SMAs), and certain model portfolios through exchange traded funds (ETFs) that are registered with the SEC as investment companies.

About the Role

Strategas Asset Management is seeking a highly experienced and detail-oriented Compliance Program Manager to support and enhance the firm's compliance program. This leadership role is critical in ensuring the firm adheres to all regulatory requirements, particularly those applicable to Registered Investment Advisors (RIAs). The ideal candidate will bring deep knowledge of SEC regulations, a proactive approach to risk management, and a collaborative mindset to help drive a culture of compliance across the organization.

The Impact You'll Make

Lead compliance controls for the RIA under the Investment Advisers Act of 1940, Securities Act of 1933, Rule 206(4)-7, and related regulations.

Partner with the CCO to oversee compliance programs for the RIA and broker-dealer.

Develop and enforce policies, procedures, and the RIA Code of Ethics; adapt to regulatory changes.

Manage annual Rule 206(4)-7 reviews and ongoing testing programs.

Support Risk Committee meetings with materials, minutes, and compliance updates.

Assess and enhance compliance functions to address gaps and improve regulatory alignment.

Oversee ETF-related service providers (e.g., subadvisers, custodians, fund administrators).

Respond to DDQs, certifications, regulatory inquiries, and internal audits.

Handle regulatory filings (Form N-PX, ADV Parts 1, 2A, 2B, Form CRS).

Monitor regulatory developments and collaborate across legal, operations, and investment teams.

Build strong industry relationships and perform other duties as assigned.

What You'll Bring to Strategas

Bachelor's degree required; JD or advanced degree preferred.

510 years of IA compliance experience, including ETFs and SEC regulations.

Familiarity with broker-dealer regulations and Rule 6c-11.

Proficiency with compliance tech platforms and data analytics.

Strong leadership, communication, and multitasking skills.

Series 7 required (or within 6 months); Series 24 and / or 63 preferred.

Experience with ETFs, SMAs, and wrap programs.

Knowledge of GIPS standards and performance advertising rules.

Prior regulatory exam management.

IACCP or similar certification a plus.

Compensation and Total Rewards Package

Annual salary range $125,000 - $150,000

Bonus potential

Compensation and bonus are commensurate with experience, performance and / or firm profitability

Check out our Total Rewards, which is a summary of our benefits and compensation

Strategas Asset Management offers a dynamic and intellectually engaging environment where compliance is viewed as a strategic partner. This role provides the opportunity to make a meaningful impact on the firm's growth and integrity while working alongside industry-leading professionals.

Baird is committed to diversity and provides employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, citizenship, national origin, age, disability, military service, veteran status, sexual orientation, gender identity or expression, genetic information, or any other status protected by law.