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Compliance Officer 

Position Compliance Officer  
Category Compliance  
About the Organization We are in the 'people business' first and foremost, and we are constantly seeking the very best financial minds to work for our firm.

We embrace diversity, partnership and collaboration among staff members, capitalizing on each employee's strengths. Our culture of focusing on each client's distinct needs has led us to develop a team structure and approach to serving our clients.  

Position Summary

The Compliance Officer works directly with the Chief Compliance Officer (CCO) in administering the firm’s compliance program, which is reasonably designed to mitigate the risk of violating legal, regulatory, or firm requirements. The Compliance Officer partners with the CCO to assure compliance with securities laws and minimize business risk The position leads projects primarily focused on the on-going development and implementation of the compliance program, monitors entity and employee compliance with established policies and procedures and follows up on any deficiencies identified to ensure timely resolution.

Essential Duties and Responsibilities

  • Review and update compliance policies and procedures
  • Manage and implement the firm’s compliance program, including cyber security, facilitating the risk assessment and annual compliance review, preparing the annual review report, establishing and implementing investment advisory compliance and surveillance processes, testing, and consulting with firm personnel, and compliance counsel, where appropriate
  • Enhance and maintain firm compliance policies and procedures and disclosures
  • Research new rules and regulations and implement appropriate policies and procedures
  • Design and enhance appropriate controls to monitor compliance related activities
  • Provide ongoing compliance training to firm personnel
  • Maintain the firm’s investment adviser registration, including filing Form ADV amendments and Investment Adviser Representatives registration forms
  • Prepare and file other regulatory forms/reports, as applicable
  • Perform mock SEC audits and manage SEC examinations, as applicable
  • Coordinate with Chief Compliance Officer on products and services to maintain appropriate policies for the firm
  • Report to and support the Chief Investment Officer in handling investment advisory regulatory and compliance matters
  • Provide support to the Chief Compliance Officer with respect to regulatory issues and filings, including under existing and proposed federal and state laws
  • Implement proper training and professional guidance to ensure that the leadership team and staff maintain high compliance standards and knowledge of all relevant laws, rules and regulations
  • Participate in key industry conferences and working groups, and maintain collaborative relationships with relevant advisors, consultants and attorneys
  • Other tasks as assigned
Position Requirements

Required Skills and Experience

  • Strong service orientation and interpersonal skills; ability to establish and maintain effective working relationships with peers, leaders, and outside business partners
  • Ability to manage and work collaboratively in a team environment
  • Excellent oral and written communication skills, including the ability to communicate detailed and complex information to others at all levels of the organization
  • Self-motivated with high level of attention to detail

Preferred Skills

  • Experience in an auditing function
  • Basic understanding of technology systems

Education and Job Experience Requirements

  • Minimum 3-5 years Investment Advisory Compliance experience
  • Prior experience working for a financial institution is preferred
  • Bachelor’s degree required
Salary Range 90,000-100,000  

This position is currently accepting applications.

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