An investment management firm in the Detroit area in looking to add a Compliance Officer to the team.
Responsibilities
- Administer and oversee compliance functions and policies for the RIA observing the Investment Advisors Act of 1940, including daily operations of the compliance program, such as conflicts of interest, code of ethics approvals and reviews, AUM calculations, ADV filings, Form U4 and U5 filings, prepare and maintain individual advisors' ADV Part 2Bs disclosure documents.
- As a compliance professional and subject matter expert within the RIA, establish standards for the firm and implement procedures to ensure that the RIA's compliance program is efficient in correcting noncompliance with applicable laws and regulations.
- Perform testing and reviews of compliance policies and procedures, analyze the data to identify risks, and develop and recommend corrective action for gap closure with respect to Rule 206(4)-7.
- Contribute to the execution and monitoring of the compliance risk assessments for our internal compliance program.
- In collaboration with the Chief Compliance Officer, development, and management of all new compliance strategies and plans.
- Provide guidance, advice, training, and educational programs to improve business' understanding of related laws and regulatory requirements.
- Review and approve marketing materials.
Qualifications
- Bachelor's degree in finance or related field
- 5 - 7 years of experience in investment management compliance/ experience with the Investment Advisors Act of 1940
- Experience with RIA compliance program
