The Director of Compliance is primarily responsible for oversight and implementation of the compliance program for a registered investment adviser and affiliated broker-dealer with sophisticated financial advisory and investment banking practices.
Duties & Responsibilities
• Develop and oversee the RIA's and Broker- Dealer’s compliance programs
• Implement written policies, procedures, and code of conduct.
• Implement an effective testing regimen.
• Identify and mitigate compliance and regulatory risks.
• Ensure conformity with compliance programs.
• Manage examinations and audits for SEC, FINRA, and other parties.
• Establish, design, and maintain the Firm’s in-house Regulatory Element Program; oversee Firm
• Element requirements; prepare and deliver needs analysis and training plans; conduct annual compliance meetings as well as compliance orientations for new employees.
• Supervise registration department, including employee registration, CRD and Forms U-4/U-5 updates.
• Interact with departments in the review of compliance across all client accounts.
• Review and revise compliance programs and manuals in light of changes of law or changes in businesses.
Qualifications
• 6 years of experience in compliance in the securities industry in which 4 years were in Investment Advisory Compliance.
• 2 years of experience in a supervisory capacity.
• Bachelor’s Degree required; Series 7, 24, 63 and 65/66 licenses preferred
• Knowledge of U.S. Securities laws and regulations, particularly 1933 Act, 1934 Act, Investment Advisers Act and FINRA and SEC regulations. Team player, collaborative
Please include a cover letter and salary requirements with your resume submission. Resumes submitted without a cover letter will not be considered.
Applications are strongly encouraged from candidates reflecting diverse educational, cultural and experiential backgrounds. We encourage applications from women, people with disabilities, people of diverse ethnic, racial, religious and socioeconomic backgrounds, educational and work experiences, geographic and national origins, sexual orientations and ages.
Please note, due to the high level of responses to our listings, we can only contact those applicants who demonstrate, from the information supplied in their resume, that they meet the short-listing criteria for this position.
- OK to highlight this job opening for persons with disabilities
- Principals only. Recruiters, please don't contact this job poster.
- Please, no phone calls about this job!
- Please do not contact job poster about other services, products or commercial interests.