Compliance Administrator

Roth Capital Partners, LLC is looking to add a Compliance Administrator to our team. Roth is a relationship-driven investment bank focused on serving growth companies and their investors. In addition to capital markets and M&A advisory services, our full-service platform provides a variety of capital markets solutions, including high impact equity research, macroeconomic perspectives, sales and trading, technical insights, derivatives strategies and corporate access. Headquartered in Newport Beach, California, Roth is a privately held, employee-owned organization and maintains offices throughout the U.S.

The Compliance Administrator plays a key role in supporting the firm’s regulatory compliance program. This position will provide broad exposure to broker-dealer and investment banking compliance matters, with opportunities for professional growth and development. This role will be based in N
 

Responsibilities include (but are not limited to):

• Assist with regulatory registrations, licensing, and renewals for the firm and associated individuals
• Maintain and update compliance and registration records, databases, and tracking logs
• Prepare, review, and submit routine filings and documentation under supervision
• Support compliance with daily internal reports, workflows
• Draft and format correspondence, forms, and internal documentation
• Perform general administrative support duties for the Compliance department

• Prior compliance-related experience preferred but not required.
• Strong interest in compliance within a broker-dealer and investment banking environment.
• Proactive and self-motivated, able to work independently while contributing as part of a team.
• Excellent organizational skills and ability to manage multiple priorities.
• Strong written and oral communication skills.
• Professional presence and interpersonal skills to work across departments.
• Bachelor’s degree not required

• Entry-level; 0–2 years of office or administrative experience
• Strong working knowledge of Microsoft Office (Word, Excel, Outlook, PowerPoint).

• Experience in a regulated environment (financial services, legal, insurance, healthcare)
• Familiarity with compliance, licensing, or registration processes

Compensation Range: $42,000-$45,000 + annual discretionary bonus