The Senior Compliance Officer is a professional who Loves all things compliance and helping firms improve their compliance programs.
The ideal candidate will have experience performing compliance testing for broker-dealers and RIAs.
The ideal candidate loves working in the background, collaborating when needed, and holds themselves to a high standard of work product and professionalism.
Compensation:
$100,000 - $110,000 yearly
Responsibilities:
The successful candidate will:
Manage compliance programs for clients
Provide clients with guidance regarding best practices
Handle amendments to Form ADV and other IARD/CRD filings (e.
g U4, U5) and Edgar-based filings (e.
g.
13F, 13 H)
Work with regulators to achieve registration for RIAs and, as needed, their advisory personnel
Review disciplinary matters to ensure that DRPs (Disclosure Reporting Pages) contain proper disclosure
Assist with the RIA annual updating amendment/renewal process
Coordinate with colleagues (including those in client-facing roles) and directly with RIA and BD clients (as needed)
Conduct RIA and BD compliance tasks and testing- best execution review, trading review, billing review, email review, advertising review, social media review, testing archiving, auditing books and records, branch office reviews, risk assessments, etc.
Drafts compliance manuals, code of ethics, business continuity plans, and cybersecurity policies and can review and analyze them for required updating
Adequately compiles and organizes materials, and compiles relevant documents in databases and network drives to maintain an accessible file
Keep up with new and emerging regulation
Performs other duties and projects as needed
Qualifications:
Comprehensive prior proficiency in Form ADV and other legal documents
Someone with a profound enthusiasm for customer service and devotedness to being timely when it comes to client needs
A passion for working in a fast-paced, small company setting
A way of problem-solving
Previous experience in RIA and BD regulatory firms, law firms or NASAA
Stellar written, organizational, and follow-up talents
At least ten to fifteen years of working for an RIA, BD or law firm that caters to RIAs and BDs
Exceptional attention to detail and capacity to analyze data, identify patterns, and escalate matters as needed
Demonstrated critical thinking authority and fascination
Superb independent follow-up proficiency
Outstanding ability to manage time and multitask efficiently
Exceptional penmanship and verbal aptitude for different business circles
A customer service-oriented mindset
Keen to meet or exceed expectations without fail
FINRA licenses required (7, 24, 53)
About Company
About Us:
We are a forward-thinking and innovative law firm that believes in making a meaningful impact on our clients' lives.
We have a strong team that works well together, and we're committed to maintaining a positive and supportive work culture.
Join Our Growing Team:
At our law firm, you won't just be an employee; you'll be part of a team that values growth, learning, and camaraderie.
We take pride in the work we do and the difference we make in our clients' lives.
Don't Miss Out:
Seize the opportunity to be part of something extraordinary! Apply now and take your career to new heights.
Let's make a difference together!
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