New

Legal & Compliance Specialist -SEC Registered Firms

Vaco
$85,000.00 - $100,000.00 / yr
retirement plan
United States, Indiana, Indianapolis
Mar 05, 2026
Role Overview: Our client is a privately owned, independent SEC?registered investment advisory firm serving ultra?high?net?worth families and individuals, foundations, and institutions This company is seeking a highly analytical, detail?oriented compliance professional to join its Legal & Compliance function. The role will focus primarily on day?to?day compliance operations for an SEC?registered investment adviser, with meaningful exposure to legal work over time. The Associate will work closely with the Chief Legal Officer / Chief Compliance Officer, internal stakeholders, trading teams, and external compliance consultants. This position is ideal for someone who wants to move beyond repetitive or siloed compliance work and gain broad, hands?on exposure to the full scope of compliance and legal operations within a growing advisory firm. This role offers significant long?term growth potential, including the opportunity to take on increased responsibility and, over time, step into a senior compliance leadership role as the firm continues to scale. Location & Work Model This role is based in Carmel, IN Some hybrid flexibility may be considered for exceptional candidates Candidates based in Chicago may be considered as a secondary option, provided they can travel regularly to Indianapolis, especially during the initial onboarding period Key Responsibilities: Compliance Operations (Primary Focus) Review and approve marketing, client?facing, and investor materials in accordance with SEC advertising rules Coordinate with the trading team and external compliance consultants to monitor ownership thresholds and prepare regulatory filings, including Schedule 13G, Schedule 13F, and Schedule 13H Assist in the preparation, maintenance, and updating of Form ADV (Parts 1, 2A, and 2B), including quarterly and annual updates Support compliance?related employee onboarding, including documentation, acknowledgements, and system access Manage Investment Adviser Representative (IAR) registrations and ongoing requirements, including U?4 and U?5 filings, FINRA licensing exam registrations and tracking, and Continuing education tracking Coordinate firmwide compliance training and track completion Maintain, update, and organize compliance policies, procedures, and internal documentation Schedule, prepare for, and participate in recurring meetings with external compliance consultants; track action items and follow?ups Participate in monthly cybersecurity and information security meetings and assist with related compliance initiatives Respond to restricted list inquiries and assist with monitoring and escalation as needed Review trade errors and assist with documentation and remediation Track compliance projects, deadlines, and regulatory calendars to ensure timely completion Legal & Regulatory Support : Review, track, and archive nondisclosure agreements (NDAs) Assist with the review of routine and low?complexity contracts for Service providers, Counterparties, Consultants, and New employees Track and manage vendor and service provider documentation Coordinate periodic AML refreshes for counterparties and service providers Review updated client wealth management agreements and ensure proper documentation and retention Provide project tracking and administrative support for legal initiatives Qualifications: Experience & Background Bachelor's degree in finance, business, legal studies, or a related field; JD is a plus but not required 5+ years of experience in compliance, legal operations, or a regulated financial services environment Strong preference for experience within an SEC?registered investment adviser, investment management firm, hedge fund, or private equity environment Experience at a compliance consulting firm and/or prior in?house compliance role is highly desirable Exposure to regulatory filings such as Form ADV, 13F/13G, AML, or similar frameworks is a plus Note: Candidates whose experience is limited to traditional banking compliance (without prior SEC?registered investment firm exposure) may not be a fit, as the regulatory regime differs significantly. Skills & Attributes Strong organizational skills with the ability to manage recurring deadlines and regulatory calendars High attention to detail and accuracy, particularly with regulatory and contractual documentation Sound judgment and comfort asking questions when appropriate Clear, professional written and verbal communication skills High level of integrity, discretion, and professionalism Comfortable working in a fast?growing, entrepreneurial environment where team members wear multiple hats Approachable and collaborative; viewed as a trusted resource rather than an obstacle Self?directed and able to operate independently after onboarding Proficiency in Microsoft Office (Word, Excel, Outlook) required Experience with CRM systems or investment management platforms is a plus Ability to learn and work within third?party compliance platforms Compensation & Benefits Competitive base salary + Annual performance?based bonus opportunity Comprehensive benefits package, including: Employer?paid medical, dental, and vision coverage Retirement plan with employer match Health savings account contributions Wellness and lifestyle benefits Charitable giving programs Vaco by Highspring values a diverse workplace and strongly encourages women, people of color, LGBTQ+ individuals, people with disabilities, members of ethnic minorities, foreign-born residents, and veterans to apply. EEO Notice Vaco by Highspring is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment because of race (including but not limited to traits historically associated with race such as hair texture and hair style), color, sex (includes pregnancy or related conditions), religion or creed, national origin, citizenship, age, disability, status as a veteran, union membership, ethnicity, gender, gender identity, gender expression, sexual orientation, marital status, political affiliation, or any other protected characteristics as required by federal, state or local law. Vaco by Highspring and its parents, affiliates, and subsidiaries are committed to the full inclusion of all qualified individuals. As part of this commitment, Vaco by Highspring and its parents, affiliates, and subsidiaries will ensure that persons with disabilities are provided reasonable accommodations. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact HR@vaco.com . Vaco by Highspring also wants all applicants to know their rights that workplace discrimination is illegal. By submitting to this position, you agree that you will be giving Vaco by Highspring the exclusive right to present your as a candidate for the foregoing employment opportunity. You further agree that you have represented information about yourself accurately and have not affirmatively misrepresented your qualifications. You also agree to maintain as confidential, to the fullest extent permitted by law, any information you learn from Vaco by Highspring about the position and you will limit disclosure of information about the position only to the extent necessary to perform any obligations in furtherance of your application. In exchange, Vaco by Highspring agrees to exercise reasonable efforts to represent you through all solicitation, job screening and resume dispersal. Privacy Notice Vaco by Highspring and its parents, affiliates, and subsidiaries ("we," "our," or "Vaco by Highspring") respects your privacy and are committed to providing transparent notice of our policies. California residents may access Vaco by Highspring HR Notice at Collection for California Applicants and Employees here. Virginia residents may access our state specific policies here. Residents of all other states may access our policies here. Canadian residents may access our policies in English here and in French here. Residents of countries governed by GDPR may access our policies here. Pay Transparency Notice Determining compensation for this role (and others) at Vaco by Highspring depends upon a wide array of factors including but not limited to: the individual's skill sets, experience and training; licensure and certification requirements; office location and other geographic considerations; other business and organizational needs. With that said, as required by local law, Vaco by Highspring believes that the following salary range referenced above reasonably estimates the base compensation for an individual hired into this position in geographies that require salary range disclosure. The individual may also be eligible for discretionary bonuses.