Compliance Officer

Full Time



Essential Duties & Responsibilities:

  • Review client accounts for adherence to the stated investment policy statement
  • Review and approve Investment Adviser marketing materials and sales literature
  • Assist with annual compliance program review and testing
  • Train firm employees and Investment Advisers about policies, procedures, and applicable federal securities laws
  • Perform periodic branch office inspections
  • Conduct initial and ongoing sub-advisor due diligence
  • Maintain and update the firm compliance manual and disclosure brochures
  • Keep up-to-date with regulatory changes and updates
  • Assist with other duties and projects, as assigned

Qualifications & Competencies:

  • 2-10 years experience
  • Bachelor’s degree in Finance or related field from a four-year college
  • Strong understanding of the Investment Advisers Act of 1940
  • Securities Licenses: Series 65 or 66
  • Experience in Investment Adviser compliance and supervision
  • Ability to work as part of a team but maintain a proactive, independent approach
  • Detail-oriented with strong decision-making and analytical skills
  • Strong interpersonal, oral, and written communication skills
  • Proficient with Microsoft Office suite (Word, Excel, PowerPoint, Outlook)
  • Occasional travel required to conduct branch audits
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