Well-regarded RIA is seeking a senior compliance officer to join their team.
This team member will oversee the firm's compliance program, and work collaboratively with senior management.
- Design, implement, and enhance the firm’s compliance policies and procedures.
- Maintain the firm’s Code of Ethics and ensure employee adherence.
- Monitor and interpret changes to laws, regulations, and industry guidelines relevant to investment advisory firms.
- Ensure compliance with SEC, FINRA, and other applicable regulatory bodies.
- Oversee regulatory filings, including Form ADV, Form CRS, and other periodic disclosures.
- Serve as a trusted advisor to senior leadership and employees on compliance matters.
- Develop and deliver training programs to educate employees on compliance requirements, ethics, and best
Requirements:
- 7-10 years of compliance experience in financial services, preferably in investment advisory firms or private wealth management.
- Strong knowledge of SEC regulations, including the Investment Advisers Act of 1940.
- Experience managing regulatory examinations, audits, and inquiries.
- Excellent written and verbal communication skills
- Ability to thrive in an ever-changing, fast paced environment
- Ability to work independently as well as with a team