A highly reputable financial services organization that provides wealth management and financial planning is looking to add a Compliance Officer to oversee the company's RIA Compliance Program. An ideal candidate is someone who has a strong background in the securities industry, and is familiar with new policy formation, risk assessment, and testing/regulatory filings. The candidate should also be excellent at multi tasking and working in a fast paced and collaborative environment. This position can sit fully remote.
You will be responsible for:
- Developing and maintaining the company's RIA compliance program
- Conduct periodic audits (i.e. risk assessment, testing) of RIA compliance policies and procedures pursuant to Rule 206(4)-7 and assist in establishing controls to mitigate risks
- Complete regulatory filings and amendments (Annual and Other than Annual Amendments) to Form ADV, Form 13F and Form 13H
- Direct and supervise professional staff across multiple geographic locations
- Be responsible for hiring, conducting performance evaluations, training, and directing the work priorities within the department
- Provide investment advisory compliance support to RIA subsidiaries of the company
You should have the following qualifications:
- Bachelor's degree in a related field
- 5+ years of Investment Advisory compliance experience, preferably at a RIA
- Significant experience working with the Advisers Act of 1940, Company Act of 1940, and Securities Act of 1933
- Significant prior experience with regulatory filings, conducting risk assessments, drafting policies and procedures
- Series 7 and 24 are preferred
- Series 66 (or 63/65) are preferred
Benefits:
- Competitive salary and an excellent bonus package
- Excellent PTO plan
- Remote work setting
If you are interested, please click the link above for immediate consideration!
