Senior Compliance Manager-Legal/Compliance

Our story

At Alight, we believe a company's success starts with its people. At our core, we Champion People, help our colleagues Grow with Purpose and true to our name we encourage colleagues to "Be Alight."

Our Values:

Champion People – be empathetic and help create a place where everyone belongs.

Grow with purpose – Be inspired by our higher calling of improving lives.

Be Alight – act with integrity, be real and empower others.

It's why we're so driven to connect passion with purpose. Alight helps clients gain a benefits advantage while building a healthy and financially secure workforce by unifying the benefits ecosystem across health, wealth, wellbeing, absence management and navigation.

With a comprehensive total rewards package, continuing education and training, and tremendous potential with a growing global organization, Alight is the perfect place to put your passion to work.

Join our team if you Champion People, want to Grow with Purpose through acting with integrity and if you embody the meaning of Be Alight.

Learn more at  

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

• Bachelor's degree required.
• Minimum 6 years of experience in broker-dealer and RIA compliance.
• Deep understanding of SEC and FINRA regulations.
• Series 24 and Series 65/66 licenses.
• Strong communication skills with the ability to engage senior stakeholders.
• Advanced analytical and problem-solving capabilities.
• Experience with compliance technology platforms.
• Broad business acumen to support product and initiative delivery.

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. 

By applying for a position with Alight, you understand that, should you be made an offer, it will be contingent on your undergoing and successfully completing a background check consistent with Alight's employment policies. Background checks may include some or all the following based on the nature of the position: SSN/SIN validation, education verification, employment verification, and criminal check, search against global sanctions and government watch lists, credit check, and/or drug test.  You will be notified during the hiring process which checks are required by the position.

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.

As part of this commitment, Alight will ensure that persons with disabilities are provided reasonable accommodations for the hiring process. If reasonable accommodation is needed, please contact

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.

Alight provides reasonable accommodations to the known limitations of otherwise qualified employees and applicants for employment with disabilities and sincerely held religious beliefs, practices and observances, unless doing so would result in undue hardship. Applicants for employment may request a reasonable accommodation/modification by contacting their  recruiter.

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.

Note, this job description does not restrict management's right to assign or reassign duties and responsibilities of this job to other entities; including but not limited to subsidiaries, partners, or purchasers of Alight business units.

#LI-Remote

We offer you a competitive total rewards package, continuing education & training, and tremendous potential with a growing worldwide organization.

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

DISCLAIMER:

Nothing in this job description restricts management's right to assign or reassign duties and responsibilities of this job to other entities; including but not limited to subsidiaries, partners, or purchasers of Alight business units.

Alight Solutions provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, creed, sex, sexual orientation, gender identity, national origin, age, disability, genetic information, pregnancy, childbirth or related medical condition, veteran, marital, parental, citizenship, or domestic partner status, or any other status protected by applicable national, federal, state or local law. Alight Solutions is committed to a diverse workforce and is an affirmative action employer.

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