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.