Compliance Associate

closes 30 NOV 2024

Assist the Chief Compliance Officer in the Administration of the registered investment advisor (RIA) and broker-dealer (BD) Compliance programs.

Update and maintain Compliance procedure manuals
Update and file Form ADV Parts 1 and 2A and Form BD
Maintain Form CRS for RIA and BD and ADV Part 2Bs for Adviser Reps
Perform Compliance onboarding of new employees (file U4/U5s, annual renewal program)
Administer FINRA CRD system for licensing and registration of employees, firm element continuing education
Administer Code of Ethics (employee personal trading) management system
Administer employee Continuing Education program
Administer electronic communication system to ensure complete archiving and effective monitoring
Monitor and maintain Compliance calendar
Perform regular Compliance reviews, including:
- Firm client trading
- Employee personal trading
- Marketing materials
- Email and social media
Provide information and documentation in response to audit and exam information requests
Assist in remediation of audit/exam findings
Assist with ad hoc Compliance projects

Team-oriented, respectful, high integrity, humility
Excellent oral and written communication skills
Detail focused with excellent organization skills
Strong analytical and problem-solving skills
Self-starter, with ability to follow direction and offer perspective on new initiatives
Comfortable working in a fast-paced and deadline focused environment

BA/BS degree
Minimum three years of RIA compliance experience
Working knowledge of the Investment Advisers Act of 1940 and associated SEC rules and regulations
Working knowledge FINRA broker-dealer rules (nice to have)
IAACP certification (nice to have)
Highly proficient with Microsoft Office especially Excel